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31000
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HIPAA
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SEC
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EBA
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EU
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EU
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Germany
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Cybersecurity & Data Protection Governance | Cybersecurity & Data Protection Governance Program | GOV-01 | Mechanisms exist to facilitate the implementation of cybersecurity & data protection governance controls. | - Steering committee
- Digital Security Program (DSP)
- Cybersecurity & Data Protection Program (CDPP) | E-GOV-01
E-GOV-02 | Does the organization facilitate the implementation of cybersecurity & data protection governance controls? | 10 | Identify | X | X | X | There is no evidence of a capability to facilitate the implementation of cybersecurity & data privacy governance controls. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends.
• Compliance efforts are not tied into an enterprise-wide cybersecurity and/ or data privacy program. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function to determine prioritized and authoritative guidance for cybersecurity and data protection (e.g., data privacy) practices.
• The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization that includes cybersecurity & data privacy governance as part of the broader operational plan.
• A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to facilitate the implementation of secure and compliant practices to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data.
• A GRC function, or similar function, provides scoping guidance to determine control applicability.
• A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program. The steering committee establishes a clear and authoritative accountability structure for cybersecurity and data protection operations.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of cybersecurity & data privacy governance controls. | CC1.2 | CC1.1-POF1
CC2.3-POF5 | 4
4.1
4.2
4.3
4.4
5
7
7.1
7.2
7.4
7.5
8
8.1
8.2
8.4
10
10.1
10.2
10.2.1
10.2.2 | null | null | null | null | EDM01.02
APO01.09
APO04.01
APO13.01
APO13.02 | Principle 2 | GRC-05
GRC-07 | GVN-01
GVN-02 | null | 8.2.1 | null | RQ-05-02.a
RQ-05-02.b | 5.2
5.2.1
5.2.2 | 4.3
4.4
5.1
6.1.1 | 4.4
5.1
5.1(a)
5.1(b)
5.1(c)
5.1(d)
5.1(e)
5.1(f)
5.1(g)
5.1(h)
6.1
6.1.1
6.1.1(a)
6.1.1(b)
6.1.1(c)
6.1.1(d)
6.1.1(e)(1)
6.1.1(e)(2)
8.1
10.1 | 5.1
5.1.1 | 5.1
5.4
5.37 | 5.1
5.1.1 | null | 5.3.1
5.3.2
5.3.3
5.4
5.4.1
5.4.1.1
5.4.2
5.5
5.5.1
5.5.2
5.5.3
5.5.4
5.5.5
5.5.5.1
5.5.5.2
5.5.5.3
5.6.1
5.6.2
5.6.3
5.7
5.7.1
5.7.2
5.7.3
5.8
5.8.1
5.8.1
6.2
6.2.1
6.2.1.1
6.5 | 5.1
5.10
5.11 | null | null | null | OR-1.0 | Sec 4(A)
Sec 4(B)(1)
Sec 4(B)(2)
Sec 4(B)(3)
Sec 4(B)(4)
Sec 4(D)(1)
Sec 4(E)(1)
Sec 4(G) | null | GV.PO-P1
GV.PO-P6 | null | null | null | PM-1 | null | null | null | PM-1 | null | null | null | null | PM-1 | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.1.a | null | null | null | null | null | GV.OC
GV.RM
GV.SC
GV.RR
GV.PO
ID.RA
ID.IM
PR.AA
PR.AT
PR.DS
PR.PS
PR.IR
DE.CM
DE.AE
RS.MA
RS.AN
RS.CO
RS.MI
RC.RP
RC.CO | null | 12.1
12.1.1 | A3.1.2 | null | null | null | null | null | null | null | null | null | C.7 | null | 1.2
1.2.1
9.1 | null | 7.1.2 | 7.1.2 | PROGRAM-2.A.MIL1
PROGRAM-2.B.MIL2
PROGRAM-2.C.MIL2
PROGRAM-2.D.MIL2
PROGRAM-2.E.MIL2
PROGRAM-2.F.MIL2
PROGRAM-2.G.MIL3
PROGRAM-2.H.MIL3
PROGRAM-2.I.MIL3
PROGRAM-2.J.MIL3 | EF:SG2.SP1
EF:SG2.SP2
OPF:SG1.SP1 | null | 5.1
5.1.1
5.1.1.1
5.1.1.2 | null | null | null | null | null | null | PM-1 | null | 252.204-7008
252.204-7012 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | § 1232h | null | S-P (17 CFR §248.30) | null | 3.13(a)
3.13(a)(1)
3.13(a)(2)
3.13(a)(3)
314.4(a)
314.4(b)
314.4(c)
314.4(c)(2)
314.4(g) | 164.306
164.306(a)
164.306(b)
164.306(c)
164.306(d)
164.306(e)
164.308(a)(1)(i)
164.530(j)
164.316
164.316(a)
164.316(b) | 10.S.A | 8.M.A | 8.M.A
10.M.A | PM-1 | null | null | 8-100 | null | null | null | null | null | 5.1 | null | null | null | null | 45.48.530 | null | null | null | null | null | null | null | 17.03(1)
17.04
17.03(2)(b)(2) | null | 500.02 | Sec 4(2)(a)
Sec 4(2)(b)(ii)
Sec 4(2)(b)(ii)(A)
Sec 4(2)(b)(ii)(A)(1)
Sec 4(2)(b)(ii)(A)(2)
Sec 4(2)(b)(ii)(A)(3)
Sec 4(2)(b)(ii)(A)(4)
Sec 4(2)(b)(ii)(A)(5)
Sec 4(2)(b)(ii)(A)(6)
Sec 4(2)(b)(ii)(B)(1)
Sec 4(2)(b)(ii)(B)(2)
Sec 4(2)(b)(ii)(B)(3)
Sec 4(2)(b)(ii)(B)(4)
Sec 4(2)(b)(ii)(C)(1)
Sec 4(2)(b)(ii)(C)(2)
Sec 4(2)(b)(ii)(C)(3)
Sec 4(2)(b)(ii)(C)(4) | null | 38-99-20(A)
38-99-20(B)(1)
38-99-20(B)(2)
38-99-20(B)(3)
38-99-20(B)(4)
38-99-20(D)(1)
38-99-20(E)(1)
38-99-20(G) | Sec. 521.052 | Sec 10 | PM-1 | null | null | null | 59.1-578.3 | § 2447(a)
§ 2447(a)(1)
§ 2447(a)(1)(A)
§ 2447(a)(1)(B)
§ 2447(a)(1)(C)
§ 2447(a)(1)(D)
§ 2447(a)(2)
§ 2447(b)
§ 2447(c)
§ 2447(c)(1)
§ 2447(c)(1)(A)
§ 2447(c)(1)(A)(i)
§ 2447(c)(1)(A)(ii)
§ 2447(c)(1)(A)(iii)
§ 2447(c)(1)(A)(iv)
§ 2447(c)(1)(A)(v) | null | Art 5.1
Art 16.1(a)
Art 16.1(b)
Art 16.1(c)
Art 16.1(d)
Art 16.1(e)
Art 16.1(f)
Art 16.1(g)
Art 16.1(h) | null | Art 32.1
Art 32.2
Art 32.3
Art 32.4 | Article 21.1
Article 21.2(a)
Article 21.2(b)
Article 21.2(c)
Article 21.2(d)
Article 21.2(e)
Article 21.2(f)
Article 21.2(g)
Article 21.2(h)
Article 21.2(i)
Article 21.2(j) | Art 3 | null | Sec 14
Sec 15 | Art 16 | Art 13 | Art 41 | Sec 5
Sec 32
Sec 33
Sec 34
Sec 35 | Art 34 | Sec 9
Sec 9a
Annex | 4.1 | OIS-01 | Art 10 | Sec 7 | Sec 2 | 3.2
4.25 | Sec 16
Sec 17 | Sec 31
Sec 33
Sec 34
Sec 35 | null | Art 3
Art 4 | Sec 12
Sec 13
Sec 14 | null | Sec 13
Sec 14 | Art 1
Art 36 | Art 14
Art 15
Art 16
Art 17 | null | Art 7
Art 19 | null | TPC-25 | 3.1.1 | 1-2-1
1-3-2 | 1-1 | null | null | Sec 19
Sec 21 | null | 6.1 [ORG.1] | Sec 31 | Art 7 | Art 12 | Sec 15
Sec 16 | A1.a
B1.a
B1.b | A1 | null | null | null | null | null | null | APP Part 1
APP Part 11 | null | 0888 | null | null | 13
18
19 | null | Sec 4 | Article 58
Article 58(1)
Article 58(2)
Article 58(3)
Article 58(4) | Principle 4 | Sec 8 | Art 9
Art 10
Art 12
Art 13
Art 14
Art 15
Art 16
Art 17
Art 18
Art 19
Art 20
Art 21
Art 22
Art 23
Art 24
Art 28 | Article 20 | 4.1
4.2
4.3
4.4
4.4.1
4.4.2
4.4.2.1
4.4.4
4.4.5
4.4.5.3
4.5
4.5.1
4.5.1.1
4.5.1.2
4.5.2
4.6
4.6.1
4.9.1
4.9.1.1
4.9.2
4.9.2.1
4.9.2.2
5.1
5.1.1
5.1.2 | Sec 9 | 3.1
9.1 | 5.1.14.C.01 | null | Sec 25
Sec 27
Sec 28 | Sec 12
Sec 24 | null | null | Art 3
Art 29
Art 30 | Art 27 | Art 9
Art 30 | null | Sec 6 | 4
5.4 | null | 6.5
6.6
6.7
6.23 | 1.1.2
1.2
3.0 | Principle 7 | Art 7 | Art 4 | Art 10 | Art 19 | Art 9
Art 16
Art 17 | null | null | null | null | x | MA 201 CMR 17
NAIC | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15
MT-16 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | MT-16 | null |
Cybersecurity & Data Protection Governance | Steering Committee & Program Oversight | GOV-01.1 | Mechanisms exist to coordinate cybersecurity, data protection and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis. | - Steering committee
- Digital Security Program (DSP)
- Cybersecurity & Data Protection Program (CDPP) | E-GOV-03 | Does the organization coordinate cybersecurity, data protection and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis? | 7 | Identify | X | X | null | There is no evidence of a capability to coordinate cybersecurity, data privacy and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel.
• Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity & data privacy program.
• Organizational leadership maintains an informal process to review and respond to trends.
• Procedures for important tasks are documented and assigned to individuals or teams. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• Executive leadership team (e.g., corporate-level officers, board of directors, etc.) take an active role in defining and enforcing Business As Usual (BAU) practices across the organization to operationalize cybersecurity & data privacy principles.
• A GRC function, or similar function, tracks the efforts to determine if Business As Usual (BAU) reinforcement efforts impact metrics associated with cybersecurity & data privacy controls. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate cybersecurity, data privacy and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis. | null | CC1.2-POF1
CC1.2-POF2
CC1.2-POF3
CC1.2-POF4
CC1.5-POF3
CC1.5-POF4
CC1.5-POF5
CC2.2-POF4
CC2.3-POF3 | 4.1
4.1.1
4.1.2
4.1.3
4.1.4
4.1.5
4.1.6
4.2
4.4
7.5
8.3
8.4 | null | null | null | null | null | null | null | null | null | null | null | RQ-05-08 | null | 4.3
5.1
6.2
7.4
9.3
10.2 | 4.4
5.3
5.3(a)
5.3(b)
9.3
9.3.1
9.3.2(a)
9.3.2(b)
9.3.2(c)
9.3.2(d)
9.3.2(d)(1)
9.3.2(d)(2)
9.3.2(d)(3)
9.3.2(d)(4)
9.3.2(e)
9.3.2(f)
9.3.2(g)
9.3.3
10.1 | null | null | 5.1 | null | null | null | null | null | null | null | Sec 4(B)(1)
Sec 4(B)(2)
Sec 4(B)(3)
Sec 4(B)(4)
Sec 4(D)(1)
Sec 4(E)(2)(a)
Sec 4(E)(2)(b) | GOVERN 2.3
MAP 3.5
MAP 5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GV.OC-02
GV.RM-03
GV.RR-03
GV.OV-01
GV.OV-02
ID.IM-01 | null | null | null | null | null | null | null | null | null | null | null | null | C.6 | null | null | null | null | null | ASSET-5.E.MIL3
ASSET-5.F.MIL3
THREAT-3.F.MIL3
RISK-1.E.MIL2
RISK-1.F.MIL2
RISK-1.H.MIL3
RISK-5.F.MIL3
ACCESS-4.D.MIL3
ACCESS-4.F.MIL3
SITUATION-4.D.MIL3
RESPONSE-5.D.MIL3
THIRD-PARTIES-3.D.MIL3
WORKFORCE-4.D.MIL3
ARCHITECTURE-5.D.MIL3
PROGRAM-2.C.MIL2
PROGRAM-2.D.MIL2
PROGRAM-2.E.MIL2
PROGRAM-2.F.MIL2
PROGRAM-2.G.MIL3
PROGRAM-2.H.MIL3
PROGRAM-2.I.MIL3
PROGRAM-2.J.MIL3
PROGRAM-3.D.MIL3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 314.4(a)(2)
314.4(g) | null | null | null | null | null | null | null | null | null | null | null | 17 CFR 229.106(C)(1)
17 CFR 229.106(C)(2)
17 CFR 229.106(C)(1)(i)
17 CFR 229.106(C)(1)(ii)
17 CFR 229.106(C)(1)(iii)
FORM 8-K ITEM 1.05(a) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 38-99-20(B)(1)
38-99-20(B)(2)
38-99-20(B)(3)
38-99-20(B)(4)
38-99-20(D)(1)
38-99-20(E)(2)(a)
38-99-20(E)(2)(b) | null | null | null | null | null | null | null | null | 3.2.1(2)
3.2.1(3)
3.2.1(4) | Art 5.2
Art 5.2(a)
Art 5.2(b)
Art 5.2(c)
Art 5.2(d)
Art 5.2(e)
Art 5.2(f)
Art 5.2(g)
Art 5.2(h)
Art 5.2(i)(i)
Art 5.2(i)(ii)
Art 5.2(i)(iii) | null | null | Article 21.2(f) | null | null | null | null | null | null | null | null | null | 1.1
1.2
1.2(a)
1.2(b)
1.2(c)
1.2(d)
1.2(e)
1.2(f)
2.1
2.2
2.3
2.4
2.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.1 | null | null | null | null | null | null | null | null | null | null | null | A1.a
A1.c
D2.a | null | null | null | null | null | null | null | null | null | 0725 | null | 20
21
22(a)
20
21
22(a)
22(b)
22(c)
23
24
25 | 13
19 | null | null | null | null | null | null | null | 4.1
4.4.1.2
4.4.1.3
4.4.2
4.4.2.1
4.4.4
4.4.5
4.5.3
4.6
4.6
4.6.1.1
4.6.1.2
4.6.2
4.6.3
4.6.3.1
4.6.3.2
4.6.2.3
4.6.2.4
4.9
4.9.1
4.9.1.1
4.9.2
4.9.2.1
4.9.2.2 | null | null | 3.2.9.C.01 | null | null | null | null | 3.1.1
3.1.2
3.1.3
3.1.4
3.1.5
3.1.6
3.1.7(a)
3.1.7(b)
3.1.7(c)
3.1.7(d)
3.1.7(e)
3.1.7(f)
3.1.7(g)
3.1.8(a)
3.1.8(b)
3.1.8(c)
3.1.8(d)
3.1.8(e) | null | null | null | null | null | 5.1
5.6 | null | 6.5
6.6
6.7
6.21
6.22
6.23
6.24 | 1.1
3.1.8 | null | null | null | null | null | null | null | null | null | null | null | NAIC | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Status Reporting To Governing Body | GOV-01.2 | Mechanisms exist to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data protection program. | null | E-CPL-05
E-CPL-09
E-GOV-03
E-GOV-04
E-GOV-05
E-GOV-06
E-GOV-07
E-GOV-13 | Does the organization provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data protection program? | 5 | Identify | X | X | null | There is no evidence of a capability to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program. | SP-CMM1 is N/A, since a structured process is required to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program. | null | CC2.2-POF2
CC2.3-POF3
CC2.3-POF5
CC4.2-POF2 | 4.2
4.3
4.4
8.3
8.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.4
7.4(a)
7.4(b)
7.4(c)
7.4(d)
9.1
9.1(a)
9.1(b)
9.1(c)
9.1(d)
9.1(e)
9.1(f)
9.3
9.3.1
9.3.2(a)
9.3.2(b)
9.3.2(c)
9.3.2(d)
9.3.2(d)(1)
9.3.2(d)(2)
9.3.2(d)(3)
9.3.2(d)(4)
9.3.2(e)
9.3.2(f)
9.3.2(g)
9.3.3 | null | null | null | null | null | null | null | null | null | null | null | GOVERN 2.3
MAP 3.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GV.OV
GV.OV-01
ID.IM-01 | null | null | null | null | null | null | null | null | null | null | null | null | A.1.8 | null | null | null | null | null | ASSET-5.E.MIL3
ASSET-5.F.MIL3
THREAT-3.F.MIL3
RISK-1.E.MIL2
RISK-1.F.MIL2
RISK-5.F.MIL3
ACCESS-4.F.MIL3
SITUATION-4.F.MIL3
RESPONSE-5.F.MIL3
THIRD-PARTIES-3.F.MIL3
WORKFORCE-4.F.MIL3
ARCHITECTURE-5.F.MIL3
PROGRAM-3.F.MIL3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 314.4(i)
314.4(i)(1)
314.4(i)(2) | null | null | null | null | null | null | null | null | null | null | null | 17 CFR 229.106(C)(1)
17 CFR 229.106(C)(2)
17 CFR 229.106(C)(1)(i)
17 CFR 229.106(C)(1)(ii)
17 CFR 229.106(C)(1)(iii) | null | null | null | null | null | null | null | null | 7102(a)(1)(A)
7102(a)(1)(B)
7102(a)(1)(C)
7102(a)(1)(D)
7102(a)(1)(E)
7102(a)(1)(F)
7102(a)(2)
7102(b) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.1(13)(e)
3.3.5(24) | Art 13.5 | null | null | null | null | null | null | null | null | null | null | null | null | 3.9
3.11
4.10
7.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A1.c
D2.a | null | null | null | null | null | null | null | null | null | null | null | 30
58(a)
58(b)
58(c) | null | null | null | null | null | null | null | null | 4.4.1.2
4.6
4.6.1.1
4.6.1.2
4.6.2
4.6.3
4.6.3.1
4.6.3.2
4.6.2.3
4.6.2.4
4.7
4.9
4.9.1
4.9.1.1
4.9.2
4.9.2.1
4.9.2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-EX-3
R-EX-4
R-GV-1
R-GV-4
R-GV-5
R-GV-6
R-GV-7 | R-AC-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-3 | R-EX-4 | null | null | null | R-GV-1 | null | null | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | null | null | null | null | null | null | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-8
MT-9
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | null | null | null | null | null | null | null | MT-8 | MT-9 | null | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Publishing Cybersecurity & Data Protection Documentation | GOV-02 | Mechanisms exist to establish, maintain and disseminate cybersecurity & data protection policies, standards and procedures. | - Steering committee
- Digital Security Program (DSP)
- Cybersecurity & Data Protection Program (CDPP)
- Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.)
- Wiki
- SharePoint | E-GOV-08
E-GOV-09
E-GOV-11 | Does the organization establish, maintain and disseminate cybersecurity & data protection policies, standards and procedures? | 10 | Identify | X | X | X | There is no evidence of a capability to establish, maintain and disseminate cybersecurity & data privacy policies, standards and procedures. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish, maintain and disseminate cybersecurity & data privacy policies, standards and procedures. | CC5.3 | CC1.4-POF1
CC2.2-POF1
CC2.2-POF4
CC2.2-POF7
CC5.3-POF1
CC7.2-POF1 | 4.2
7.3 | null | null | null | null | APO01.09 | Principle 12 | A&A-01
AIS-01
BCR-01
CCC-01
CEK-01
DCS-01
DCS-02
DCS-03
DCS-04
DSP-01
GRC-01
GRC-02
HRS-01
HRS-02
HRS-03
HRS-04
IAM-01
IAM-02
IPY-01
IVS-01
LOG-01
SEF-01
SEF-02
STA-01
STA-12
TVM-01
TVM-02
UEM-01 | GVN-01
GVN-02
POL-03 | SO1 | 8.2.1 | null | RQ-05-01.a
RQ-05-01.b | 5.2.1
5.2.2 | 4.3
5.2
7.5.1
7.5.2
7.5.3 | 5.1(a)
5.2
5.2(a)
5.2(b)
5.2(c)
5.2(d)
5.2(e)
5.2(f)
5.2(g)
7.5
7.5.1
7.5.1(a)
7.5.1(b)
7.5.2
7.5.2(a)
7.5.2(b)
7.5.2(c)
7.5.3
7.5.3(a)
7.5.3(b)
7.5.3(c)
7.5.3(d)
7.5.3(e)
7.5.3(f) | 5.1.1
6.2.1
9.1.1 | 5.1
5.37 | 5.1.1
6.2.1
9.1.1 | null | 6.2
6.2.1
6.2.1.1 | null | null | null | null | OR-1.0
OR-3.0
OP-2.0
PS-2.0
TS-2.4
TS-2.6
TS-2.8
TS-2.11
TS-3.0 | null | GOVERN 1.0
GOVERN 1.2
GOVERN 1.4
GOVERN 2.2
GOVERN 3.2
GOVERN 4.1
GOVERN 5.1
GOVERN 6.0
GOVERN 6.1
MAP 3.5 | GV.PO-P1
GV.PO-P6
GV.MT-P3
GV.MT-P4
GV.MT-P5
GV.MT-P6
GV.MT-P7
CT.PO-P1
CT.PO-P2
CT.PO-P3
CM.PO-P1
PR.PO-P4 | null | P-5 | null | PM-1 | null | null | null | AC-1
AT-1
AU-1
CA-1
CM-1
CP-1
IA-1
IR-1
MA-1
MP-1
PE-1
PL-1
PM-1
PS-1
PT-1
RA-1
SA-1
SC-1
SI-1
SR-1 | null | null | null | null | PM-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.9[a]
3.9.2[a] | A.03.15.01.a[01]
A.03.15.01.a[02]
A.03.15.01.b[01]
A.03.15.01.b[02] | null | null | ID.GV-1 | GV.PO-01 | null | 12.1
12.1.1 | 1.1.1
2.1.1
3.1.1
4.1.1
5.1.1
6.1.1
7.1.1
8.1.1
8.3.8
9.1.1
10.1.1
11.1.1
12.1
12.1.1
12.1.2
12.1.3 | 3.1.1 | 1.1.1
2.1.1
3.1.1
4.1.1
5.1.1
6.1.1
8.1.1
8.3.8
12.1.1
12.1.2
12.1.3 | 3.1.1
12.1.1
12.1.2
12.1.3 | 3.1.1
8.1.1
9.1.1
12.1.1
12.1.2
12.1.3 | 2.1.1
3.1.1
5.1.1
8.1.1
8.3.8
9.1.1
10.1.1
12.1.1
12.1.2
12.1.3 | 2.1.1
3.1.1
8.1.1
9.1.1
12.1.1
12.1.2 | 1.1.1
2.1.1
3.1.1
4.1.1
5.1.1
6.1.1
7.1.1
8.1.1
8.3.8
9.1.1
10.1.1
11.1.1
12.1.1
12.1.2
12.1.3 | 1.1.1
2.1.1
3.1.1
4.1.1
5.1.1
6.1.1
7.1.1
8.1.1
8.3.8
9.1.1
10.1.1
11.1.1
12.1.1
12.1.2
12.1.3 | 3.1.1
9.1.1
12.1.1
12.1.2
12.1.3 | C.1 | null | 1.1
1.1.1
7.1.1 | null | null | null | ASSET-5.C.MIL3
THREAT-3.C.MIL3
RISK-5.C.MIL3
ACCESS-4.C.MIL3
SITUATION-4.C.MIL3
RESPONSE-5.C.MIL3
THIRD-PARTIES-3.C.MIL3
WORKFORCE-4.C.MIL3
ARCHITECTURE-5.C.MIL3
PROGRAM-3.C.MIL3 | EF:SG2.SP1
EF:SG2.SP2 | null | 5.8
5.9 | null | null | null | null | null | null | PM-1 | null | 252.204-7008
252.204-7012 | null | null | null | null | § 11.10
§ 11.10(j) | null | null | null | null | null | null | null | null | null | null | § 1232h | D1.G.SP.B.4 | S-P (17 CFR §248.30) | null | 314.4(c)
314.4(c)(8)
314.4(e) | 164.306
164.308
164.308(a)(1)(i)
164.312
164.316
164.316(a)
164.316(b)
164.316(b)(1)
164.316(b)(1)(i)
164.316(b)(1)(ii)
164.316(b)(2)(ii)
164.530(i)
164.530(i)(1)
164.530(i)(2)
164.530(i)(3)
164.530(j)
164.530(j)(1) | 4.S.A
10.S.A | 4.M.B | 4.M.B
10.M.A | 1.8.2
2.C.2
PM-1 | null | null | null | null | null | null | null | null | 5.1
5.2 | null | null | null | III.B
III.B.1.d
III.C
III.C.1
III.C.1.a
III.C.1.b
III.C.3
III.D | 45.48.530 | null | null | null | null | null | null | null | 17.03(1)
17.04
17.03(2)(b)(2) | null | 500.03 | null | null | null | null | Sec 10 | PM-1 | null | null | Sec 11.175(b) | null | § 2447(b)(3) | 3.4.1(28)
3.4.1(29)
3.4.5(38) | Art 6.2
Art 9.4(a)
Art 9.4(d)
Art 9.4(e)
Art 9.4(f) | null | Art 32.1
Art 32.2
Art 32.3
Art 32.4 | Article 21.1
Article 21.2(a)
Article 21.2(b)
Article 21.2(c)
Article 21.2(d)
Article 21.2(e)
Article 21.2(f)
Article 21.2(g)
Article 21.2(h)
Article 21.2(i)
Article 21.2(j) | Art 3 | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | 4.2
4.3
4.8 | OIS-01
OIS-02
SP-01 | null | null | null | 1.1
4.1
4.25
5.2
5.3
9.1
10.1
11.2
12.1
13.1
14.1
15.1
17.1
18.1
20.1
21.1
22.1
24.1
25.1 | null | null | null | null | null | 4.1(1) | null | null | null | Article 8.4 | null | null | TPC-25 | 3.1.3 | 1-3-1
1-3-3 | 1-1
1-1-1 | null | null | null | null | 6.1 [ORG.1]
6.2 [ORG.2] | null | null | null | null | A1.a
B1.a
B1.b | A1
A5 | null | null | null | null | null | null | null | APP 1 | 0047
0888
1478
1602
1784
1785
1551 | null | null | 18
19 | null | null | null | null | null | null | null | 4.4.1
4.4.4
4.4.5
4.4.5.1
4.4.5.3
4.5.1
4.5.2
4.5.3
4.5.3.1
4.6
4.6.1
4.8.1
4.8.1.1
4.8.2
4.8.2.1
4.8.2.2
5.1.1 | null | 1.4.2
1.5
3.2
4.1
4.2
5.2
6.2
7.2
8.2
9.2
10.2
11.2
12.2
13.2
14.2
15.2
16.2
17.2
18.2
19.2 | 5.1.7.C.01
5.1.14.C.01
5.1.16.C.01
5.1.16.C.02
5.1.17.C.01
5.1.18.C.01
5.1.19.C.01
5.1.20.C.01
5.1.20.C.02
5.2.3.C.01
5.2.3.C.02 | null | null | null | null | 3.2.1 | null | null | null | null | null | null | null | 6.1
6.3 | 1.1.2 | null | null | null | null | null | null | null | null | null | null | x | MA 201 CMR 17 | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Exception Management | GOV-02.1 | Mechanisms exist to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded. | null | null | Does the organization prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded? | 8 | Protect | X | X | X | There is no evidence of a capability to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | ID.RA-07 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-3
MT-4
MT-6
MT-7
MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | null | MT-6 | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Periodic Review & Update of Cybersecurity & Data Protection Program | GOV-03 | Mechanisms exist to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. | - Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.)
- Steering committee | E-GOV-12 | Does the organization review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness? | 7 | Identify | X | X | X | There is no evidence of a capability to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends.
• Documentation change control processes do not exist or are not formal.
• People affected by documentation changes are provided notification of the policy and standard changes.
• Informal recommendations are leveraged to update existing policies and standards.
• Unstructured review of the cybersecurity and/ or data privacy program is performed on an annual basis. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel.
• Formal documentation review process is performed on an annual basis.
• Documentation review process includes the scope of applicable statutory, regulatory and contractual obligations.
• Recommendations for documentation edits are submitted for review and are handled in accordance with documentation change control processes.
• Updated documentation versions are published at least annually, based on the review process.
• People affected by documentation changes are provided notification of the policy and standard changes. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity & data privacy program to the organization's Board of Directors.
• Formal documentation review process is performed on an annual basis.
• Documentation review process includes the scope of applicable statutory, regulatory and contractual obligations.
• Recommendations for documentation edits are submitted for review and are handled in accordance with documentation change control processes.
• Updated documentation versions are published at least annually, based on the review process.
• People affected by documentation changes are provided notification of the policy and standard changes. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. | CC5.3
| CC2.2-POF4
CC2.2-POF7
CC5.3-POF6 | 4.3
4.4
8.3
8.4 | null | null | null | null | EDM01.01
EDM01.03
EDM05.01
APO02.02
APO13.03 | Principle 12 | A&A-01
AIS-01
BCR-01
CCC-01
CEK-01
DCS-01
DCS-02
DCS-03
DCS-04
DSP-01
GRC-01
GRC-02
GRC-03
HRS-01
HRS-02
HRS-03
HRS-04
IAM-01
IAM-02
IPY-01
IVS-01
LOG-01
SEF-01
SEF-02
STA-01
TVM-01
TVM-02
UEM-01 | null | SO1 | 8.2.1 | null | RQ-05-08 | null | 6.1.1
7.4 | 7.5.2
7.5.2(a)
7.5.2(b)
7.5.2(c) | 5.1.2 | 5.1
5.37 | 5.1.2 | null | 6.2.1.2 | null | null | null | null | OP-2.0 | Sec 4(G) | null | GV.MT-P2 | null | null | null | PM-1 | null | null | null | AC-1
AT-1
AU-1
CA-1
CM-1
CP-1
IA-1
IR-1
MA-1
MP-1
PE-1
PL-1
PM-1
PS-1
PT-1
RA-1
SA-1
SC-1
SI-1
SR-1 | null | null | null | null | PM-1 | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.1.b | null | A.03.15.01.b[01] | null | null | null | GV.PO-02 | null | null | 1.1.1
2.1.1
3.1.1
4.1.1
5.1.1
6.1.1
7.1.1
8.1.1
9.1.1
10.1.1
11.1.1
12.1
12.1.1
12.1.2 | 3.1.1 | 1.1.1
2.1.1
3.1.1
4.1.1
5.1.1
6.1.1
8.1.1
8.3.8
12.1.1
12.1.2
12.1.3 | 3.1.1
12.1.1
12.1.2
12.1.3 | 3.1.1
8.1.1
9.1.1
12.1.1
12.1.2
12.1.3 | 2.1.1
3.1.1
5.1.1
8.1.1
8.3.8
9.1.1
10.1.1
12.1.1
12.1.2
12.1.3 | 2.1.1
3.1.1
8.1.1
9.1.1
12.1.1
12.1.2 | 1.1.1
2.1.1
3.1.1
4.1.1
5.1.1
6.1.1
7.1.1
8.1.1
8.3.8
9.1.1
10.1.1
11.1.1
12.1.1
12.1.2
12.1.3 | 1.1.1
2.1.1
3.1.1
4.1.1
5.1.1
6.1.1
7.1.1
8.1.1
8.3.8
9.1.1
10.1.1
11.1.1
12.1.1
12.1.2
12.1.3 | 3.1.1
9.1.1
12.1.1
12.1.2 | P.2.4 | null | null | null | null | null | null | EF:SG2.SP1
EF:SG2.SP2
OPF:SG1.SP2
OPF:SG1.SP3
OPF:SG2.SP1 | null | null | null | null | null | null | null | null | PM-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | § 1232h | null | null | null | 314.4(b)
314.4(g) | 164.306(e)
164.316(b)
164.316(b)(1)
164.316(b)(1)(i)
164.316(b)(1)(ii)
164.316(b)(2)(iii)
164.530(i)(2) | 10.S.A | null | 10.M.A | PM-1 | null | CIP-003-6
R1 | null | null | null | null | null | null | null | null | null | null | null | 45.48.530 | null | null | null | null | null | null | null | null | null | null | Sec 4(2)(b)(ii)(A)(6) | null | 38-99-20(G) | null | Sec 10 | PM-1 | null | null | null | null | § 2447(b)(8)(B)
§ 2447(b)(9)
§ 2447(b)(9)(A)
§ 2447(b)(9)(B) | 3.3.1(14) | null | null | Art 32.1
Art 32.2
Art 32.3
Art 32.4 | null | Art 3 | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | 4.2
4.8 | OIS-01
SP-02 | null | null | null | 1.1
5.2
9.1
10.1
11.2
13.1
14.1
15.1
17.1
18.1
21.1
22.1
24.1
25.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-1-3
1-3-4
1-6-4
1-9-6
1-10-5
2-2-4
2-3-4
2-4-4
2-5-4
2-6-4
2-7-4
2-8-4
2-9-4
2-10-4
2-11-4
2-12-4
2-13-4
2-14-4
2-15-4
3-1-4
4-1-4
4-2-4
5-1-4 | 1-1-3 | null | null | null | null | null | null | null | null | null | B1.a
B1.b | null | null | null | null | null | null | null | null | null | 1617 | null | null | 19 | null | null | null | null | null | null | null | 4.5.3
4.5.3.1
4.6
4.6.2
4.6.2.1
4.7
4.8.2
4.8.2.1
4.8.2.2
5.1.2 | null | null | 5.1.14.C.01
5.1.21.C.01
5.1.21.C.02 | null | null | null | null | 3.2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | NAIC | null | x | R-AC-1
R-BC-4
R-BC-5
R-EX-2
R-EX-5
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-3
R-SA-1
R-SA-2 | R-AC-1 | null | null | null | null | null | null | null | null | null | R-BC-4 | R-BC-5 | null | R-EX-2 | null | null | R-EX-5 | null | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | null | null | R-IR-3 | null | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Assigned Cybersecurity & Data Protection Responsibilities | GOV-04 | Mechanisms exist to assign one or more qualified individuals with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data protection program. | - NIST NICE Framework
- Chief Information Security Officer (CISO) | E-HRS-01
E-HRS-05
E-HRS-06
E-HRS-07
E-HRS-08
E-HRS-09
E-HRS-10
E-HRS-13
E-HRS-15 | Does the organization assign one or more qualified individuals with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data protection program? | 10 | Identify | X | X | X | There is no evidence of a capability to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program. | SP-CMM1 is N/A, since a structured process is required to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program. | CC1.1
CC1.3 | CC5.3-POF2 | 4.1
4.1.1
4.1.2
4.1.3
4.1.4
4.1.5
4.1.6 | null | null | null | null | APO01.05 | Principle 1
Principle 3 | GRC-06
STA-04 | null | null | 8.2.7 | null | RQ-05-03
RQ-06-04 | 5.1
5.3 | 5.3 | 5.1(f)
5.1(h)
5.3
5.3(a)
5.3(b) | null | 5.2 | 6.1.1 | null | null | null | null | null | null | null | Sec 4(C)(1) | GOVERN 2.3
GOVERN 5.0 | ID.IM-P2
GV.PO-P3
CM.PO-P2 | null | P-1 | null | PL-9
PM-2
PM-6 | null | null | null | PL-9
PM-2
PM-6
PM-29 | PL-9 | null | null | null | PM-2
PM-6
PM-29 | null | null | null | null | null | PL-9
PM-2
PM-6
PM-29 | null | null | PL-9
PM-2
PM-6
PM-29 | PL-9
PM-2
PM-6 | null | null | null | null | null | null | PO.2
PO.2.1
PO.2.2
PO.2.3 | ID.AM-6 | GV.RR-01 | null | 12.5
12.5.1
12.5.2
12.5.3
12.5.4
12.5.5 | 1.1.2
2.1.2
3.1.2
4.1.2
5.1.2
6.1.2
7.1.2
8.1.2
9.1.2
10.1.2
11.1.2
12.1.3
12.1.4
A3.1.1
A3.1.3 | null | 12.1.3
12.1.4 | 12.1.3 | null | 12.1.3 | null | 1.1.2
2.1.2
3.1.2
4.1.2
5.1.2
6.1.2
7.1.2
8.1.2
9.1.2
10.1.2
11.1.2
12.1.3
12.1.4
A3.1.1
A3.1.3 | 1.1.2
2.1.2
3.1.2
4.1.2
5.1.2
6.1.2
7.1.2
8.1.2
9.1.2
10.1.2
11.1.2
12.1.3
12.1.4
A3.1.1
A3.1.3 | 12.1.3 | C.7 | null | 1.2.2 | null | null | null | ASSET-5.D.MIL3
THREAT-3.D.MIL3
RISK-1.E.MIL2
RISK-1.F.MIL2
RISK-5.D.MIL3
ACCESS-4.D.MIL3
SITUATION-4.D.MIL3
RESPONSE-5.D.MIL3
THIRD-PARTIES-3.D.MIL3
WORKFORCE-4.D.MIL3
ARCHITECTURE-5.D.MIL3
PROGRAM-3.D.MIL3 | EF:SG2.SP2
EF:SG4.SP2
GG2.GP1
MA:SG1.SP1
MON:SG1.SP1
MON:SG1.SP3 | 4.1
4.2 | null | null | null | null | null | null | null | PM-2
PM-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D1.R.St.B.1
D1.TC.Cu.B.1 | null | null | 314.4(a)
314.4(a)(1)
314.4(a)(2)
314.4(a)(3) | 164.308(a)(2) | 5.S.B
10.S.A | 5.M.B
8.M.A | 5.M.B
8.M.A
10.M.A | 1.5
PM-2
PM-29 | null | CIP-003-6
R3 & R4 | 8-101
8-311 | null | null | null | 17 CFR 229.106(B)(1)(i)
17 CFR 229.106(B)(1)(ii)
17 CFR 229.106(B)(1)(iii)
17 CFR 229.106(B)(2)
17 CFR 229.106(C)(1)
17 CFR 229.106(C)(2)
17 CFR 229.106(C)(1)(i)
17 CFR 229.106(C)(1)(ii)
17 CFR 229.106(C)(1)(iii)
FORM 8-K ITEM 1.05(a) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 17.03(2)(a) | null | 500.04 | Sec 4(2)(b)(ii)(A)(1) | 622(2)(d)(A)(i) | 38-99-20(C)(1) | null | Sec 9 | PM-2
PM-6 | null | null | Sec 11.175(d) | null | § 2447(b)(1) | 3.3.1(11)
3.3.1(12)
3.7.5(91) | Art 5.2
Art 5.2(a)
Art 5.2(b)
Art 5.2(c)
Art 5.2(d)
Art 5.2(e)
Art 5.2(f)
Art 5.2(g)
Art 5.2(h)
Art 5.2(i)(i)
Art 5.2(i)(ii)
Art 5.2(i)(iii)
Art 5.3 | null | null | null | null | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | 4.4
4.5
4.6 | OIS-03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.4 | 1-2-2
1-4-1
1-4-2
1-5-2 | 1-2
1-2-1-2 | null | null | null | null | null | null | null | null | null | A1.b
A1.c | null | null | null | Article 5(2) | null | null | null | null | null | 0714
0717
0718
0735 | null | 21
24 | 14
19 | Article 45
Article 46 | null | Article 52 | null | null | null | null | 4.3.1
4.3.1.1
4.4.1.2
6.1.1.13.PB
6.1.3.13.PB | null | 1.8 | 3.1.8.C.01
3.1.8.C.02
3.1.8.C.03
3.1.9.C.01
3.2.8.C.01
3.2.8.C.02
3.2.8.C.03
3.2.8.C.04
3.2.8.C.05
3.2.9.C.01
3.2.10.C.01
3.2.10.C.02
3.2.10.C.03
3.2.10.C.04
3.2.11.C.01
3.2.11.C.02
3.2.11.C.03
3.2.12.C.01
3.2.12.C.02
3.2.12.C.03
3.2.13.C.01
3.2.13.C.02
3.2.14.C.01
3.2.15.C.01
3.2.16.C.01
3.2.17.C.01
3.2.18.C.01
3.2.19.C.01 | null | null | null | null | 3.1.7(a)
3.1.7(b)
3.1.7(c)
3.1.7(d)
3.1.7(e)
3.1.7(f)
3.1.7(g)
3.1.8(a)
3.1.8(b)
3.1.8(c)
3.1.8(d)
3.1.8(e) | null | null | null | null | null | 5.2 | null | 1.1
1.2
6.2 | 1.1 | null | null | null | null | null | null | null | null | null | null | x | MA 201 CMR 17
OR 6464A
NAIC | null | x | R-AC-1
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | null | null | null | null | null | null | null | null | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Stakeholder Accountability Structure | GOV-04.1 | Mechanisms exist to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks. | - Documented roles and responsibilities | E-HRS-15 | Does the organization enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks? | 8 | Identify | X | X | X | There is no evidence of a capability to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks. | SP-CMM1 is N/A, since a structured process is required to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks. | SP-CMM2 is N/A, since a well-defined process is required to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks. | null | CC1.2-POF1
CC1.3-POF1
CC1.3-POF2
CC1.3-POF3
CC1.3-POF4
CC1.3-POF5
CC1.5-POF1
CC5.3-POF2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 2.0
MANAGE 2.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GV.OC-02
GV.RM-05
GV.RR-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 17 CFR 229.106(C)(1)
17 CFR 229.106(C)(2)
17 CFR 229.106(C)(1)(i)
17 CFR 229.106(C)(1)(ii)
17 CFR 229.106(C)(1)(iii) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.1(11)
3.7.5(91) | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.5
4.6
4.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A1.b
A1.c
B1.b | null | null | null | null | null | null | null | null | null | null | null | 21 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-6
MT-9
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | null | null | MT-6 | null | null | MT-9 | null | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Authoritative Chain of Command | GOV-04.2 | Mechanisms exist to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks. | - Organization chart | E-HRS-15 | Does the organization establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks? | 7 | Identify | X | X | X | There is no evidence of a capability to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks. | SP-CMM1 is N/A, since a structured process is required to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks. | SP-CMM2 is N/A, since a well-defined process is required to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks. | null | CC1.2-POF1
CC1.3-POF1
CC1.3-POF2
CC1.3-POF3
CC1.3-POF4
CC1.3-POF5
CC1.5-POF1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GV.RM-05
GV.RR-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 17 CFR 229.106(C)(1)
17 CFR 229.106(C)(2)
17 CFR 229.106(C)(1)(i)
17 CFR 229.106(C)(1)(ii)
17 CFR 229.106(C)(1)(iii) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.7.5(91) | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.5
4.6
4.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A1.b
A1.c | null | null | null | null | null | null | null | null | null | null | null | 21 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-6
MT-9
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | null | null | MT-6 | null | null | MT-9 | null | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Measures of Performance | GOV-05 | Mechanisms exist to develop, report and monitor cybersecurity & data privacy program measures of performance. | - Metrics
- Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.)
- Enterprise Risk Management (ERM) solution | E-GOV-13 | Does the organization develop, report and monitor cybersecurity & data privacy program measures of performance? | 6 | Protect | X | X | null | There is no evidence of a capability to develop, report and monitor cybersecurity & data privacy program measures of performance. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel.
• Simple metrics exist to provide operational oversight of a limited scope of cybersecurity & data privacy controls. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• Metrics are developed that provide management oversight to ensure processes continue to operate as designed and within define parameters.
• Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity & data privacy program to the organization's Board of Directors.
• Comprehensive metrics exist to provide oversight of organization-wide cybersecurity & data privacy controls. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | CC1.2
CC1.5
CC2.2
CC4.1 | CC1.5-POF2 | 4.3
7.5
8.3
8.4 | null | null | null | null | EDM01.03
EDM05.01
EDM05.03
APO02.02
MEA01.04 | Principle 2
Principle 5
Principle 14
Principle 16
Principle 19
Principle 20 | AIS-03
SEF-05
TVM-09
TVM-10 | null | SO11
S12
S13
S14
S15 | null | null | RQ-05-08 | 9.1 | 9.1 | 9.1
9.1(a)
9.1(b)
9.1(c)
9.1(d)
9.1(e)
9.1(f) | null | null | null | null | null | null | 5.6 | null | null | null | Sec 4(E)(1) | GOVERN 1.5
MAP 5.2
MEASURE 1.0
MEASURE 1.1
MEASURE 1.2
MEASURE 4.0
MEASURE 4.3 | GV.MT-P4
PR.PO-P5
PR.PO-P6 | null | M-5 | null | PM-6 | null | null | null | PM-6 | null | null | null | null | PM-6 | null | null | null | null | 3.3.7
3.3.8 | PM-6 | null | null | PM-6 | PM-6 | null | null | 3.12.3 | null | null | null | null | PR.IP-8 | GV.RM-07
GV.OV-03 | null | null | null | null | null | null | null | null | null | null | null | null | A.4.2 | null | null | null | null | null | ASSET-5.E.MIL3
ASSET-5.F.MIL3
THREAT-3.F.MIL3
RISK-1.E.MIL2
RISK-5.F.MIL3
ACCESS-4.F.MIL3
SITUATION-4.F.MIL3
RESPONSE-5.F.MIL3
THIRD-PARTIES-3.F.MIL3
WORKFORCE-4.F.MIL3
ARCHITECTURE-5.F.MIL3
PROGRAM-3.F.MIL3 | EF:SG4.SP2
EF:SG4.SP3
GG2.GP8
GG3.GP2
HRM:SG3.SP2
MA:SG1.SP1
MA:SG1.SP3
MA:SG1.SP4
MA:SG2.SP1
MA:SG2.SP2
MA:SG2.SP3
MON:SG1.SP1
MON:SG1.SP3 | null | null | null | null | null | null | null | null | PM-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D2.IS.Is.B.1
D2.IS.Is.E.2 | null | null | null | null | 10.S.A | null | 10.M.A | null | null | null | 8-311 | null | null | null | null | Sec 404 | 5.7 | null | null | null | null | null | null | 7102(a)(1)(A)
7102(a)(1)(B)
7102(a)(1)(C)
7102(a)(1)(D)
7102(a)(1)(E)
7102(a)(1)(F)
7102(a)(2)
7102(b) | null | null | null | null | null | 17.03(2)(j) | null | null | null | 622(2)(d)(A)(vi)
622(2)(d)(B)(iii) | 38-99-20(E)(1) | null | Sec 10
Sec 11 | PM-6 | null | null | null | null | null | null | Art 13.4 | null | null | Article 21.2(f) | Art 3 | null | null | null | null | null | null | null | null | null | COM-04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.6.2 [OP.MON.2] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0724 | null | null | null | null | null | null | null | null | null | null | 4.6
4.6.1
4.6.2.1 | null | null | null | null | null | null | null | 4.5.3
7.8.3 | null | null | null | null | null | 5.7 | null | 6.9 | 2.8
2.8.1
2.8.2 | null | null | null | null | null | null | null | null | null | null | x | MA 201 CMR 17
OR 6464A
NAIC | null | null | R-AC-1
R-GV-1
R-GV-2
R-GV-6
R-GV-7
R-SA-1
R-SA-2 | R-AC-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | null | null | null | R-GV-6 | R-GV-7 | null | null | null | null | null | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Key Performance Indicators (KPIs) | GOV-05.1 | Mechanisms exist to develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program. | - Key Performance Indicators (KPIs) | null | Does the organization develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program? | 6 | Protect | null | X | null | There is no evidence of a capability to develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program. | SP-CMM1 is N/A, since a structured process is required to develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program. | SP-CMM2 is N/A, since a well-defined process is required to develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | CC1.2
CC1.5
CC2.2
CC4.1 | null | null | null | null | null | null | APO02.02
MEA01.04 | Principle 2
Principle 5
Principle 14
Principle 16 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.6 | null | null | null | null | MEASURE 4.1
MEASURE 4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A.4 | null | null | null | null | null | null | GG3.GP2
HRM:SG3.SP2
HRM:SG3.SP3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AC-1
R-GV-1
R-GV-2
R-GV-6
R-GV-7
R-SA-1
R-SA-2 | R-AC-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | null | null | null | R-GV-6 | R-GV-7 | null | null | null | null | null | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Key Risk Indicators (KRIs) | GOV-05.2 | Mechanisms exist to develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program. | - Key Risk Indicators (KRIs) | null | Does the organization develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program? | 6 | Protect | null | X | null | There is no evidence of a capability to develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program. | SP-CMM1 is N/A, since a structured process is required to develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program. | SP-CMM2 is N/A, since a well-defined process is required to develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | CC1.2
CC1.5
CC2.2
CC4.1 | null | null | null | null | null | null | APO02.02
MEA01.04 | Principle 2
Principle 5
Principle 14
Principle 16 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.6 | null | null | null | null | MEASURE 4.1
MEASURE 4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A.4 | null | null | null | null | null | null | HRM:SG3.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AC-1
R-GV-1
R-GV-2
R-GV-6
R-GV-7
R-SA-1
R-SA-2 | R-AC-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | null | null | null | R-GV-6 | R-GV-7 | null | null | null | null | null | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Contacts With Authorities | GOV-06 | Mechanisms exist to identify and document appropriate contacts with relevant law enforcement and regulatory bodies. | - Threat intelligence personnel
- Integrated Security Incident Response Team (ISIRT) | null | Does the organization identify and document appropriate contacts with relevant law enforcement and regulatory bodies? | 5 | Identify | null | X | null | There is no evidence of a capability to identify and document appropriate contacts with relevant law enforcement and regulatory bodies. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends.
• Cybersecurity personnel identify and maintain contact information for local and national law enforcement (e.g., FBI field office) in case of cybersecurity incidents that require law enforcement involvement. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel.
• Incident response personnel identify and maintain contact information for local and national law enforcement (e.g., FBI field office) in case of cybersecurity incidents that require law enforcement involvement.
• Contact information is verified and updated on at least an annual basis. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• Incident response personnel identify and maintain contact information for local and national law enforcement (e.g., FBI field office) in case of cybersecurity incidents that require law enforcement involvement.
• Contact information is verified and updated on at least an annual basis. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | CC2.3 | null | null | null | null | null | null | null | Principle 15 | null | null | null | null | null | null | null | null | null | 6.1.3 | 5.5 | 6.1.3 | null | 6.3.1.3 | null | null | null | null | null | Sec 4(D)(4) | null | null | null | null | null | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | null | null | IR-6 | IR-6 | IR-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GV.OC-02 | null | null | null | null | null | null | null | null | null | null | null | null | C.6 | null | null | null | null | null | null | IMC:SG2.SP1 | null | null | null | null | null | null | null | null | IR-6 | null | 252.204-7019(c)(1)
252.204-7019(c)(2) | null | null | null | null | null | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | IR-6 | null | null | null | null | null | null | null | 8.M.A
8.M.C | 8.M.A
8.M.C
7.L.A
8.L.B | 1.8.3
IR-6 | null | null | 1-303
4-218 | null | null | null | FORM 8-K ITEM 1.05(a) | null | null | null | null | null | III.F.3
VI.A
VI.B
VI.B.1
VI.B.2
VI.C
VI.D
VI.E.1
VI.E.2
VI.F
| null | null | null | null | null | null | null | null | null | null | null | null | null | 38-99-20(D)(4) | Sec. 521.053 | Sec 5
Sec 11 | IR-6 | IR-6 | IR-6 | null | null | null | 3.7.5(91) | null | null | Art 31
Art 36.1
Art 36.2
Art 36.3
Art 37.7
Art 40.1
Art 41.1
Art 42.2
Art 50 | null | null | null | null | null | null | null | null | null | null | null | OIS-05 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 31
Article 36(1)
Article 36(2)
Article 36(3)(a)
Article 36(3)(b)
Article 36(3)(c)
Article 36(3)(d)
Article 36(3)(e)
Article 36(3)(f) | null | null | null | null | null | null | null | 33
42
51
59(a)
59(b) | 35
35(a)
35(b)
36 | null | null | null | null | null | null | null | 6.1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | NAIC | null | x | R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - updated DFARS mapping |
Cybersecurity & Data Protection Governance | Contacts With Groups & Associations | GOV-07 | Mechanisms exist to establish contact with selected groups and associations within the cybersecurity & data privacy communities to:
▪ Facilitate ongoing cybersecurity & data privacy education and training for organizational personnel;
▪ Maintain currency with recommended cybersecurity & data privacy practices, techniques and technologies; and
▪ Share current cybersecurity and/or data privacy-related information including threats, vulnerabilities and incidents.
| - SANS
- CISO Executive Network
- ISACA chapters
- IAPP chapters
- ISAA chapters | E-THR-02 | Does the organization establish contact with selected groups and associations within the cybersecurity & data privacy communities to:
▪ Facilitate ongoing cybersecurity & data privacy education and training for organizational personnel;
▪ Maintain currency with recommended cybersecurity & data privacy practices, techniques and technologies; and
▪ Share current cybersecurity and/or data privacy-related information including threats, vulnerabilities and incidents?
| 7 | Identify | X | X | null | There is no evidence of a capability to establish contact with selected groups and associations within the cybersecurity & data privacy communities to:
▪ Facilitate ongoing cybersecurity & data privacy education and training for organizational personnel;
▪ Maintain currency with recommended cybersecurity & data privacy practices, techniques and technologies; and
▪ Share current security-related information including threats, vulnerabilities and incidents.
| Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends.
• Cybersecurity and data privacy personnel identify and maintain contact information for local, regional and national cybersecurity / data privacy groups and associations. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel.
• Cybersecurity and data privacy personnel identify and maintain contact information for local, regional and national cybersecurity / data privacy groups and associations.
• Cybersecurity and data privacy personnel in supervisory positions subscribe to news feeds from groups and associations to facilitate ongoing education and training. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | null | null | null | null | null | null | GRC-08 | null | null | null | null | null | null | null | null | 6.1.4 | 5.6 | 6.1.4 | null | 6.3.1.4 | null | null | null | null | null | Sec 4(D)(4) | null | null | null | null | null | PM-15 | null | null | null | PM-15 | null | null | null | null | PM-15 | null | null | null | null | null | PM-15 | null | null | PM-15 | PM-15 | null | null | null | null | null | null | null | null | null | null | 5.1.2
6.1 | 6.3.1 | 6.3.1 | 6.3.1 | null | 6.3.1 | 6.3.1 | 6.3.1 | 6.3.1 | 6.3.1 | null | C.6 | null | null | null | null | null | null | COMM:SG2.SP1
OTA:SG2.SP1 | 4.5 | null | null | null | null | null | null | null | PM-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.M.A
8.M.C | 8.M.A
8.M.C
9.L.D | null | null | null | 8-101 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 38-99-20(D)(4) | null | Sec 5
Sec 11 | PM-15 | null | null | null | null | null | null | Art 45.1
Art 45.1(a)
Art 45.1(b)
Art 45.1(c)
Art 45.2 | null | Art 40.2
Art 41.1
Art 42.2
Art 42.3
Art 43.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.1.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.7 | null | null | null | null | null | null | null | null | null | null | null | x | NAIC | null | x | R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | null | null | null | null | null | null | null | null | null | null | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Defining Business Context & Mission | GOV-08 | Mechanisms exist to define the context of its business model and document the mission of the organization. | null | E-PRM-01 | Does the organization define the context of its business model and document the mission of the organization? | 5 | Identify | X | null | null | There is no evidence of a capability to define the context of its business model and document the mission of the organization. | SP-CMM1 is N/A, since a structured process is required to define the context of its business model and document the mission of the organization. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• Cybersecurity and data privacy personnel are encouraged to attend and be involved in local groups and associations.
• Cybersecurity and data privacy personnel identify and maintain contact information for local, regional and national cybersecurity / data privacy groups and associations.
• Cybersecurity and data privacy personnel in supervisory positions subscribe to news feeds from security/data privacy-related groups and associations to facilitate ongoing education and training.
• Designated incident response personnel participate in public/private information sharing organizations (e.g., InfraGard). | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the context of its business model and document the mission of the organization. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the context of its business model and document the mission of the organization. | null | CC2.2-POF10 | null | null | null | null | null | EDM05.01
EDM05.02
EDM05.03
APO01.01
APO01.02
APO01.03
APO01.04
APO01.06
APO02.01
APO02.05
APO08.01
APO08.02
APO08.03
APO08.04
APO08.05 | null | null | null | null | null | null | null | 4.1
4.2
4.2.1
4.2.2 | 4.1
4.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | ID.IM-P5
ID.BE-P1
ID.BE-P2
GV.RM-P3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | ID.BE-1
ID.BE-2 | GV.OC-01 | null | null | null | null | null | null | null | null | null | null | null | null | B.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 120.13
120.17 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.2.1(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-1-1 | null | null | null | null | null | null | null | null | null | null | A1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.4.2
4.4.2.1
4.4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Define Control Objectives | GOV-09 | Mechanisms exist to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system. | null | E-GOV-10 | Does the organization establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system? | 5 | Identify | X | X | null | There is no evidence of a capability to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system. | SP-CMM1 is N/A, since a structured process is required to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel.
• IT and/ or cybersecurity personnel develop control objectives to implement and manage the organization’s internal control system.
• IT and/ or cybersecurity personnel develop plans to implement security-related objectives. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• A GRC function, or similar function, establishes control objectives as the basis for the selection, implementation and management of the organization’s internal control system.
• IT and/ or cybersecurity personnel develop control objectives to implement and manage the organization’s internal control system.
• IT and/ or cybersecurity personnel develop plans to implement security-related objectives. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system. | null | CC2.1-POF1
CC2.2-POF1
CC2.2-POF10 | 7
7.1 | null | null | null | null | APO01.04
DSS06.01 | null | null | null | null | null | null | null | null | 5.1 | 4.1
4.2
4.2(b)
4.2(c)
5.2(b)
6.2
6.2(a)
6.2(b)
6.2(c)
6.2(d)
6.2(e)
6.2(f)
6.2(g)
6.2(h)
6.2(i)
6.2(j)
6.2(k)
6.2(l) | null | 4.2 | 5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GV.RM-01
GV.RM-03 | null | null | null | null | null | null | null | null | null | null | null | null | B.1.6
| null | null | null | null | null | null | CTRL:SG1.SP1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 314.3(b)(1)
314.3(b)(2)
314.3(b)(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.2.1(5)(c) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OIS-01
OIS-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.1
4.2
4.3
4.4
4.4.2
4.4.2.1
4.4.5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Data Governance | GOV-10 | Mechanisms exist to facilitate data governance to oversee the organization's policies, standards and procedures so that sensitive/regulated data is effectively managed and maintained in accordance with applicable statutory, regulatory and contractual obligations. | null | null | Does the organization facilitate data governance to oversee the organization's policies, standards and procedures so that sensitive/regulated data is effectively managed and maintained in accordance with applicable statutory, regulatory and contractual obligations? | 9 | Protect | null | X | null | There is no evidence of a capability to facilitate data governance to oversee the organization's policies, standards and procedures so that sensitive/regulated data is effectively managed and maintained in accordance with applicable statutory, regulatory and contractual obligations. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate data governance to oversee the organization's policies, standards and procedures so that sensitive/regulated data is effectively managed and maintained in accordance with applicable statutory, regulatory and contractual obligations. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PM-23
PM-24 | PM-24 | null | null | null | PM-23 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | ID.AM-07 | null | null | A3.2.5 | null | null | null | null | null | null | null | null | null | C.1.4 | null | 9.1
9.3
9.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.C.5
2.C.5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 58
Article 58(1)
Article 58(2)
Article 58(3)
Article 58(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Purpose Validation | GOV-11 | Mechanisms exist to monitor mission/business-critical services or functions to ensure those resources are being used consistent with their intended purpose. | null | null | Does the organization monitor mission/business-critical services or functions to ensure those resources are being used consistent with their intended purpose? | 5 | Identify | null | X | X | There is no evidence of a capability to monitor mission/business-critical services or functions to ensure those resources are being used consistent with their intended purpose. | Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• No formal cybersecurity and/ or data privacy principles are identified for the organization.
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel.
• Governance efforts are narrowly-limited to certain compliance requirements.
• Formal roles and responsibilities for cybersecurity and/ or data privacy may exist.
• Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Basic cybersecurity policies and standards are documented [not based on any industry framework]
• Basic procedures are established for important tasks, but are ad hoc and not formally documented.
• Documentation is made available to internal personnel.
• Organizational leadership maintains an informal process to review and respond to observed trends. | Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities.
• The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements.
• A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)).
• No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel.
• Compliance requirements for cybersecurity & data privacy are identified and documented.
• Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework).
• Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements.
• Procedures are established for sensitive/regulated obligations, but are not standardized across the organization.
• Documentation is made available to internal personnel. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor mission/business-critical services or functions to ensure those resources are being used consistent with their intended purpose. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PM-32 | null | null | null | null | PM-32 | null | null | null | null | null | PM-32 | null | null | null | PM-32 | PM-32 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Forced Technology Transfer (FTT) | GOV-12 | Mechanisms exist to avoid and/or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices. | - Board of Directors (Bod) Ethics Committee | null | Does the organization avoid and/or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices? | 10 | Protect | X | X | null | There is no evidence of a capability to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices. | SP-CMM1 is N/A, since a structured process is required to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices. | SP-CMM2 is N/A, since a well-defined process is required to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• Instances of client or host-nation requests are formally evaluated to determine the risk impact of the request.
• Instances that could lead to Forced Technology Transfer (FTT) are escalated to executive leadership for review by the Risk Committee. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.1.6.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 7
Article 8
Article 9
Article 11
Article 14
Article 15
Article 16
Article 18
Article 19
Article 20
Article 28
Article 31
Article 32
Article 33
Article 36
Article 37
Article 38
Article 48
Article 53 | null | Article 38
Article 38(4)
Article 40 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | State-Sponsored Espionage | GOV-13 | Mechanisms exist to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/or cyberwarfare activities. | - Board of Directors (Bod) Ethics Committee | null | Does the organization constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/or cyberwarfare activities? | 10 | Protect | X | X | null | There is no evidence of a capability to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. | SP-CMM1 is N/A, since a structured process is required to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. | SP-CMM2 is N/A, since a well-defined process is required to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• Instances of client or host-nation requests are formally evaluated to determine the risk impact of the request.
• Instances that could lead to state-sponsored espionage are escalated to executive leadership for review by the Risk Committee. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | L.4.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 7
Article 8
Article 9
Article 11
Article 14
Article 15
Article 16
Article 18
Article 19
Article 20
Article 28
Article 31
Article 32
Article 33
Article 36
Article 37
Article 38
Article 48
Article 53 | null | Article 11
Article 12
Article 38(4)
Article 40
Article 47(5)
Article 60
Article 63(3)
Article 63(4)
Article 64 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Business As Usual (BAU) Secure Practices | GOV-14 | Mechanisms exist to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement. | null | null | Does the organization incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement? | 6 | Protect | null | X | X | There is no evidence of a capability to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement. | SP-CMM1 is N/A, since a structured process is required to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement. | SP-CMM2 is N/A, since a well-defined process is required to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.
• Executive leadership team (e.g., corporate-level officers, board of directors, etc.) take an active role in defining and enforcing Business As Usual (BAU) practices across the organization to operationalize cybersecurity & data privacy principles.
• A GRC function, or similar function, tracks the efforts to determine if Business As Usual (BAU) reinforcement efforts impact metrics associated with cybersecurity & data privacy controls. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement. | null | CC1.1-POF1
CC5.3-POF1 | null | null | null | null | null | null | null | null | null | null | null | null | RQ-05-06
RC-05-10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A3.3
A3.3.3 | null | null | null | null | null | null | null | null | null | K.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B1.b
B6.a | null | null | null | null | null | null | null | null | null | null | null | 24 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | null | null | null | null | null | null | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | null | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-8
MT-9
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | null | null | null | null | null | null | null | MT-8 | MT-9 | null | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Operationalizing Cybersecurity & Data Protection Practices | GOV-15 | Mechanisms exist to compel data and/or process owners to operationalize cybersecurity & data privacy practices for each system, application and/or service under their control. | null | null | Does the organization compel data and/or process owners to operationalize cybersecurity & data privacy practices for each system, application and/or service under their control? | 9 | Protect | X | X | null | There is no evidence of a capability to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control. | SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control. | SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control. | CC5.1 | CC2.1-POF1
CC2.1-POF2
CC2.1-POF3
CC2.1-POF4
CC3.1-POF5
CC5.1-POF1
CC5.1-POF2
CC5.1-POF3
CC5.1-POF4
CC5.1-POF5
CC5.1-POF6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OR-1.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.1.a
3.17.1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.1
15.2
15.3
15.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.4(22)
3.4.1(30)(a)
3.4.1(30)(b)
3.4.1(30)(c)
3.4.1(30)(d)
3.4.1(30)(e)
3.4.1(30)(f)
3.4.1(30)(g) | Art 7(a)
Art 7(b)
Art 7(c)
Art 7(d) | null | null | Article 21.1
Article 21.2(a)
Article 21.2(b)
Article 21.2(c)
Article 21.2(d)
Article 21.2(e)
Article 21.2(f)
Article 21.2(g)
Article 21.2(h)
Article 21.2(i)
Article 21.2(j) | null | Principle 2.4.a | null | null | null | null | null | null | null | 5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 8.3 | null | null | null | null | null | 2-3
2-3-2 | Article 50
Article 51 | null | null | null | null | null | null | null | null | B1.a
B1.b
B6.a | A5 | null | null | null | null | null | null | null | null | 1633
1634
1635
1636 | null | 29 | null | null | null | null | null | null | null | null | null | null | null | 3.2.10.C.04
3.4.11.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.0
3.1
3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Select Controls | GOV-15.1 | Mechanisms exist to compel data and/or process owners to select required cybersecurity & data privacy controls for each system, application and/or service under their control. | null | null | Does the organization compel data and/or process owners to select required cybersecurity & data privacy controls for each system, application and/or service under their control? | 8 | Protect | null | X | X | There is no evidence of a capability to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control. | SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control. | SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control. | CC5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OR-1.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.1.a
3.15.2.a
3.17.1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 252.204-7008(c)(1)
252.204-7012(b) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.1
15.2
15.3
15.4 | null | null | null | null | null | null | null | null | III.B
III.C.1
III.C.1.a
III.C.1.b
III.C.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.4(22)
3.3.4(23)
3.4.1(30)(a)
3.4.1(30)(b)
3.4.1(30)(c)
3.4.1(30)(d)
3.4.1(30)(e)
3.4.1(30)(f)
3.4.1(30)(g) | Art 7(a)
Art 7(b)
Art 7(c)
Art 7(d) | null | null | Article 21.1
Article 21.2(a)
Article 21.2(b)
Article 21.2(c)
Article 21.2(d)
Article 21.2(e)
Article 21.2(f)
Article 21.2(g)
Article 21.2(h)
Article 21.2(i)
Article 21.2(j) | null | Principle 2.4.a | null | null | null | null | null | null | null | 5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 8.3
Article 11.1 | null | null | null | null | null | 2-3
2-3-2 | Article 50
Article 51 | null | null | null | null | null | null | null | null | B1.a
B1.b | A5
A6 | null | null | null | null | null | null | null | null | 1634 | null | 29 | null | null | null | null | null | null | null | null | null | null | null | 3.2.10.C.04 | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - updated DFARS mapping |
Cybersecurity & Data Protection Governance | Implement Controls | GOV-15.2 | Mechanisms exist to compel data and/or process owners to implement required cybersecurity & data privacy controls for each system, application and/or service under their control. | null | null | Does the organization compel data and/or process owners to implement required cybersecurity & data privacy controls for each system, application and/or service under their control? | 9 | Protect | null | X | X | There is no evidence of a capability to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control. | SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control. | SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control. | CC5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | RQ-09-10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.5.a
3.1.5.b
3.1.5.c
3.1.5.d
3.1.6.a
3.1.6.b
3.4.1.a
3.4.1.b
3.4.2.a
3.4.2.b
3.4.6.a
3.17.1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 252.204-7008(c)(1)
252.204-7012(b) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.1
15.2
15.3
15.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.1(30)(a)
3.4.1(30)(b)
3.4.1(30)(c)
3.4.1(30)(d)
3.4.1(30)(e)
3.4.1(30)(f)
3.4.1(30)(g) | Art 7(a)
Art 7(b)
Art 7(c)
Art 7(d) | null | null | Article 21.1
Article 21.2(a)
Article 21.2(b)
Article 21.2(c)
Article 21.2(d)
Article 21.2(e)
Article 21.2(f)
Article 21.2(g)
Article 21.2(h)
Article 21.2(i)
Article 21.2(j) | null | Principle 2.4.a | null | null | null | null | null | null | null | 5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 8.3
Article 11.3
Article 11.5
Article 11.6 | null | null | null | null | null | 2-3
2-3-2 | Article 50
Article 51 | null | null | null | null | null | null | null | null | B1.b | A5
A6
B4 | null | null | null | null | null | null | null | null | 1635 | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.11.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - updated DFARS mapping |
Cybersecurity & Data Protection Governance | Assess Controls | GOV-15.3 | Mechanisms exist to compel data and/or process owners to assess if required cybersecurity & data privacy controls for each system, application and/or service under their control are implemented correctly and are operating as intended. | null | null | Does the organization compel data and/or process owners to assess if required cybersecurity & data privacy controls for each system, application and/or service under their control are implemented correctly and are operating as intended? | 8 | Protect | null | X | X | There is no evidence of a capability to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended. | SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended. | SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended. | null | CC4.2-POF1 | null | null | null | null | null | null | null | null | null | null | null | null | RQ-09-11.a
RQ-09-11.b
RQ-10-10.a
RQ-10-10.b
RQ-10-10.c
RQ-10-10.d
RQ-10-11
RQ-10-12
RQ-10-13
RQ-11-01.a
RQ-11-01.b
RQ-11-01.c
RQ-11-01.d
RQ-11-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.12.1
3.12.3
3.12.5.a
3.15.1.b
3.17.1.b | null | A.03.12.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 14.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.6(41)
3.4.6(42)
3.4.6(43)
3.4.6(43)(a)
3.4.6(43)(b)
3.4.6(44)
3.4.6(45)
3.4.6(46)
3.4.6(47)
3.4.6(48) | Art 7(a)
Art 7(b)
Art 7(c)
Art 7(d) | null | null | null | null | Principle 2.4.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 8.3
Article 11.1
Article 11.2 | null | null | null | null | null | 2-3
2-3-2 | Article 50
Article 51 | null | null | null | null | null | null | null | null | A2.b | A5
A6
B4 | null | null | null | null | null | null | null | null | 1636 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Authorize Systems, Applications & Services | GOV-15.4 | Mechanisms exist to compel data and/or process owners to obtain authorization for the production use of each system, application and/or service under their control. | null | null | Does the organization compel data and/or process owners to obtain authorization for the production use of each system, application and/or service under their control? | 8 | Protect | null | X | X | There is no evidence of a capability to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control. | SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control. | SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | RQ-06-34.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.8.a
3.17.1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 7(a)
Art 7(b)
Art 7(c)
Art 7(d) | null | null | null | null | Principle 2.4.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 8.3
Article 11.1 | null | null | null | null | null | 2-3
2-3-2 | null | null | null | null | null | null | null | null | null | A2.b | A5 | null | null | null | null | null | null | null | null | 0027 | null | null | null | null | null | null | null | null | null | null | null | null | null | 23.2.16.C.03
23.2.16.C.04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cybersecurity & Data Protection Governance | Monitor Controls | GOV-15.5 | Mechanisms exist to compel data and/or process owners to monitor systems, applications and/or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended. | null | null | Does the organization compel data and/or process owners to monitor systems, applications and/or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended? | 8 | Protect | null | X | X | There is no evidence of a capability to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended. | SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended. | SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended. | Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability.
• Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements.
• Procedures are established for sensitive/regulated obligations and standardized across the organization.
• Controls are standardized across the organization to ensure uniformity and consistent execution.
• Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy.
• Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | RQ-10-03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.5.a
3.3.5.b
3.3.5.c
3.12.3
3.15.1.b
3.17.1.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 7(a)
Art 7(b)
Art 7(c)
Art 7(d) | null | null | null | null | Principle 2.4.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 8.3
Article 11.7
Article 11.8 | null | null | null | null | null | 2-3
2-3-2 | Article 50
Article 51 | null | null | null | null | null | null | null | null | null | A5 | null | null | null | null | null | null | null | null | 1526 | null | 30 | null | null | null | null | null | null | null | null | null | null | null | 23.2.18.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Artificial Intelligence (AI) & Autonomous Technologies Governance | AAT-01 | Mechanisms exist to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively. | null | null | Does the organization ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively? | 10 | Identify | X | X | null | There is no evidence of a capability to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively. | SP-CMM1 is N/A, since a structured process is required to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively. | SP-CMM2 is N/A, since a well-defined process is required to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function to determine prioritized and authoritative guidance for Artificial Intelligence and Autonomous Technologies (AAT), within the broader scope of cybersecurity and data protection operations.
• The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization. This CONOPS for AAT may be incorporated as part of a broader operational plan for the cybersecurity & data privacy program.
• A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to facilitate the implementation of secure and compliant practices to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data. Compliance requirements for AAT are identified and documented.
• A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including AAT. The steering committee establishes a clear and authoritative accountability structure for AAT operations.
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.
• Robust incident response and business continuity plans exist to respond to AAT-related emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 1.0
GOVERN 4.1
MAP 3.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15
MT-16 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | MT-16 | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies-Related Legal Requirements Definition | AAT-01.1 | Mechanisms exist to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 8 | Identify | X | X | null | There is no evidence of a capability to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | null | null | null | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Trustworthy AI & Autonomous Technologies | AAT-01.2 | Mechanisms exist to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. | null | null | Does the organization ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences? | 10 | Protect | X | X | null | There is no evidence of a capability to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. | SP-CMM1 is N/A, since a structured process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. | SP-CMM2 is N/A, since a well-defined process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Value Sustainment | AAT-01.3 | Mechanisms exist to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 1 | Identify | X | X | null | There is no evidence of a capability to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Situational Awareness of AI & Autonomous Technologies | AAT-02 | Mechanisms exist to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party). | null | null | Does the organization develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party)? | 9 | Identify | X | X | X | There is no evidence of a capability to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party). | SP-CMM1 is N/A, since a structured process is required to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party). | SP-CMM2 is N/A, since a well-defined process is required to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 1.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Risk Mapping | AAT-02.1 | Mechanisms exist to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements. | null | null | Does the organization identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements? | 9 | Identify | X | X | X | There is no evidence of a capability to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements. | SP-CMM1 is N/A, since a structured process is required to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements. | SP-CMM2 is N/A, since a well-defined process is required to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 4.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Internal Controls | AAT-02.2 | Mechanisms exist to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 9 | Identify | X | X | X | There is no evidence of a capability to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 4.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Context Definition | AAT-03 | Mechanisms exist to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including:
▪ Intended purposes;
▪ Potentially beneficial uses;
▪ Context-specific laws and regulations;
▪ Norms and expectations; and
▪ Prospective settings in which the system(s) will be deployed. | null | null | Does the organization establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including:
▪ Intended purposes;
▪ Potentially beneficial uses;
▪ Context-specific laws and regulations;
▪ Norms and expectations; and
▪ Prospective settings in which the system(s) will be deployed? | 8 | Identify | X | X | null | There is no evidence of a capability to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including:
▪ Intended purposes;
▪ Potentially beneficial uses;
▪ Context-specific laws and regulations;
▪ Norms and expectations; and
▪ Prospective settings in which the system(s) will be deployed. | SP-CMM1 is N/A, since a structured process is required to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including:
▪ Intended purposes;
▪ Potentially beneficial uses;
▪ Context-specific laws and regulations;
▪ Norms and expectations; and
▪ Prospective settings in which the system(s) will be deployed. | SP-CMM2 is N/A, since a well-defined process is required to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including:
▪ Intended purposes;
▪ Potentially beneficial uses;
▪ Context-specific laws and regulations;
▪ Norms and expectations; and
▪ Prospective settings in which the system(s) will be deployed. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including:
▪ Intended purposes;
▪ Potentially beneficial uses;
▪ Context-specific laws and regulations;
▪ Norms and expectations; and
▪ Prospective settings in which the system(s) will be deployed. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including:
▪ Intended purposes;
▪ Potentially beneficial uses;
▪ Context-specific laws and regulations;
▪ Norms and expectations; and
▪ Prospective settings in which the system(s) will be deployed. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 1.0
MAP 1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Mission and Goals Definition | AAT-03.1 | Mechanisms exist to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 8 | Identify | X | X | X | There is no evidence of a capability to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 1.3
MAP 1.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Business Case | AAT-04 | Mechanisms exist to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 8 | Identify | X | X | X | There is no evidence of a capability to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 3.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | null | null | null | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Potential Benefits Analysis | AAT-04.1 | Mechanisms exist to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 2 | Identify | X | X | null | There is no evidence of a capability to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Potential Costs Analysis | AAT-04.2 | Mechanisms exist to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness. | null | null | Does the organization assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness? | 2 | Identify | X | X | null | There is no evidence of a capability to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness. | SP-CMM1 is N/A, since a structured process is required to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness. | SP-CMM2 is N/A, since a well-defined process is required to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Targeted Application Scope | AAT-04.3 | Mechanisms exist to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 8 | Identify | X | X | X | There is no evidence of a capability to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 3.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Cost / Benefit Mapping | AAT-04.4 | Mechanisms exist to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data. | null | null | Does the organization map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data? | 2 | Identify | X | X | null | There is no evidence of a capability to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data. | SP-CMM1 is N/A, since a structured process is required to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data. | SP-CMM2 is N/A, since a well-defined process is required to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 4.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | null | null | null | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Training | AAT-05 | Mechanisms exist to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 5 | Identify | null | X | X | There is no evidence of a capability to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Fairness & Bias | AAT-06 | Mechanisms exist to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier. | null | null | Does the organization prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier? | 9 | Identify | null | X | null | There is no evidence of a capability to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier. | SP-CMM1 is N/A, since a structured process is required to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier. | SP-CMM2 is N/A, since a well-defined process is required to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 3.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Risk Management Decisions | AAT-07 | Mechanisms exist to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | null | null | Does the organization leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks? | 10 | Identify | X | X | X | There is no evidence of a capability to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | SP-CMM1 is N/A, since a structured process is required to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | SP-CMM2 is N/A, since a well-defined process is required to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Impact Characterization | AAT-07.1 | Mechanisms exist to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society. | null | null | Does the organization characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society? | 8 | Identify | X | X | null | There is no evidence of a capability to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society. | SP-CMM1 is N/A, since a structured process is required to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society. | SP-CMM2 is N/A, since a well-defined process is required to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 5.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Likelihood & Impact Risk Analysis | AAT-07.2 | Mechanisms exist to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts. | null | null | Does the organization define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts? | 10 | Identify | X | X | X | There is no evidence of a capability to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts. | SP-CMM1 is N/A, since a structured process is required to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts. | SP-CMM2 is N/A, since a well-defined process is required to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Continuous Improvements | AAT-07.3 | Mechanisms exist to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT. | null | null | Does the organization continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT? | 8 | Identify | X | X | X | There is no evidence of a capability to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT. | SP-CMM1 is N/A, since a structured process is required to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT. | SP-CMM2 is N/A, since a well-defined process is required to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | RQ-05-08 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 2.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Assigned Responsibilities for AI & Autonomous Technologies | AAT-08 | Mechanisms exist to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems. | null | null | Does the organization define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems? | 9 | Identify | X | X | X | There is no evidence of a capability to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems. | SP-CMM1 is N/A, since a structured process is required to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems. | SP-CMM2 is N/A, since a well-defined process is required to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Risk Profiling | AAT-09 | Mechanisms exist to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used. | null | null | Does the organization document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used? | 9 | Identify | null | X | null | There is no evidence of a capability to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used. | SP-CMM1 is N/A, since a structured process is required to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used. | SP-CMM2 is N/A, since a well-defined process is required to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 4.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) | AAT-10 | Mechanisms exist to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing. | null | E-IAO-02 | Does the organization implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing? | 10 | Detect | X | X | X | There is no evidence of a capability to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing. | SP-CMM1 is N/A, since a structured process is required to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing. | SP-CMM2 is N/A, since a well-defined process is required to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 4.3
MEASURE 2.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Trustworthiness Assessment | AAT-10.1 | Mechanisms exist to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes. | null | null | Does the organization evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes? | 10 | Detect | null | X | null | There is no evidence of a capability to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes. | SP-CMM1 is N/A, since a structured process is required to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes. | SP-CMM2 is N/A, since a well-defined process is required to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Tools | AAT-10.2 | Mechanisms exist to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices. | null | null | Does the organization document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices? | 7 | Detect | null | X | X | There is no evidence of a capability to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices. | SP-CMM1 is N/A, since a structured process is required to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices. | SP-CMM2 is N/A, since a well-defined process is required to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Trustworthiness Demonstration | AAT-10.3 | Mechanisms exist to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs. | null | null | Does the organization demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs? | 9 | Detect | X | X | null | There is no evidence of a capability to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs. | SP-CMM1 is N/A, since a structured process is required to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs. | SP-CMM2 is N/A, since a well-defined process is required to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Safety Demonstration | AAT-10.4 | Mechanisms exist to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits. | null | null | Does the organization demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits? | 10 | Detect | X | X | null | There is no evidence of a capability to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits. | SP-CMM1 is N/A, since a structured process is required to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits. | SP-CMM2 is N/A, since a well-defined process is required to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.3
MEASURE 2.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Resiliency Assessment | AAT-10.5 | Mechanisms exist to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | null | null | Does the organization evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed? | 6 | Detect | X | X | null | There is no evidence of a capability to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | SP-CMM1 is N/A, since a structured process is required to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | SP-CMM2 is N/A, since a well-defined process is required to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 4.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Transparency & Accountability Assessment | AAT-10.6 | Mechanisms exist to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | null | null | Does the organization examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed? | 7 | Detect | X | X | null | There is no evidence of a capability to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | SP-CMM1 is N/A, since a structured process is required to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | SP-CMM2 is N/A, since a well-defined process is required to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 4.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | null | null | null | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Privacy Assessment | AAT-10.7 | Mechanisms exist to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | null | null | Does the organization examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed? | 9 | Detect | X | X | null | There is no evidence of a capability to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | SP-CMM1 is N/A, since a structured process is required to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | SP-CMM2 is N/A, since a well-defined process is required to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | null | null | null | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Fairness & Bias Assessment | AAT-10.8 | Mechanisms exist to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | null | null | Does the organization examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed? | 9 | Detect | X | X | null | There is no evidence of a capability to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | SP-CMM1 is N/A, since a structured process is required to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | SP-CMM2 is N/A, since a well-defined process is required to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.5
MEASURE 2.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | null | null | null | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Model Validation | AAT-10.9 | Mechanisms exist to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model. | null | null | Does the organization validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model? | 5 | Detect | X | X | X | There is no evidence of a capability to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model. | SP-CMM1 is N/A, since a structured process is required to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model. | SP-CMM2 is N/A, since a well-defined process is required to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Results Evaluation | AAT-10.10 | Mechanisms exist to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 10 | Detect | X | X | null | There is no evidence of a capability to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Effectiveness | AAT-10.11 | Mechanisms exist to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV). | null | null | Does the organization evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV)? | 5 | Detect | null | X | null | There is no evidence of a capability to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV). | SP-CMM1 is N/A, since a structured process is required to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV). | SP-CMM2 is N/A, since a well-defined process is required to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Comparable Deployment Settings | AAT-10.12 | Mechanisms exist to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings. | null | null | Does the organization evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings? | 5 | Identify | null | X | X | There is no evidence of a capability to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings. | SP-CMM1 is N/A, since a structured process is required to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings. | SP-CMM2 is N/A, since a well-defined process is required to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI TEVV Post-Deployment Monitoring | AAT-10.13 | Mechanisms exist to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 9 | Detect | X | X | X | There is no evidence of a capability to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.6
MEASURE 2.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Updating AI & Autonomous Technologies | AAT-10.14 | Mechanisms exist to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 9 | Identify | null | X | X | There is no evidence of a capability to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Robust Stakeholder Engagement for AI & Autonomous Technologies | AAT-11 | Mechanisms exist to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts. | null | null | Does the organization compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts? | 9 | Protect | X | X | X | There is no evidence of a capability to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts. | SP-CMM1 is N/A, since a structured process is required to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts. | SP-CMM2 is N/A, since a well-defined process is required to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts. | null | CC1.4-POF3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 5.0
MAP 5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Stakeholder Feedback Integration | AAT-11.1 | Mechanisms exist to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 9 | Protect | null | X | X | There is no evidence of a capability to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 5.1
GOVERN 5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Ongoing Assessments | AAT-11.2 | Mechanisms exist to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT. | null | null | Does the organization conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT? | 9 | Protect | null | X | null | There is no evidence of a capability to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT. | SP-CMM1 is N/A, since a structured process is required to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT. | SP-CMM2 is N/A, since a well-defined process is required to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies End User Feedback | AAT-11.3 | Mechanisms exist to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics. | null | null | Does the organization collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics? | 7 | Protect | null | X | X | There is no evidence of a capability to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics. | SP-CMM1 is N/A, since a structured process is required to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics. | SP-CMM2 is N/A, since a well-defined process is required to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 3.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Incident & Error Reporting | AAT-11.4 | Mechanisms exist to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/or errors to relevant stakeholders, including affected communities. | null | null | Does the organization communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/or errors to relevant stakeholders, including affected communities? | 9 | Protect | null | X | X | There is no evidence of a capability to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. | SP-CMM1 is N/A, since a structured process is required to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. | SP-CMM2 is N/A, since a well-defined process is required to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.
• Robust incident response and business continuity plans exist to respond to AAT-related emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Intellectual Property Infringement Protections | AAT-12 | Mechanisms exist to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement. | null | null | Does the organization identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement? | 10 | Protect | X | null | null | There is no evidence of a capability to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement. | SP-CMM1 is N/A, since a structured process is required to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement. | SP-CMM2 is N/A, since a well-defined process is required to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.
• Robust incident response and business continuity plans exist to respond to AAT-related emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GOVERN 6.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4 | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Stakeholder Diversity | AAT-13 | Mechanisms exist to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise. | null | null | Does the organization ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise? | 8 | Identify | null | X | null | There is no evidence of a capability to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise. | SP-CMM1 is N/A, since a structured process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise. | SP-CMM2 is N/A, since a well-defined process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise. | null | CC1.4-POF3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Stakeholder Competencies | AAT-13.1 | Mechanisms exist to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented. | null | null | Does the organization ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented? | 9 | Identify | X | X | null | There is no evidence of a capability to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented. | SP-CMM1 is N/A, since a structured process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented. | SP-CMM2 is N/A, since a well-defined process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented. | null | CC1.4-POF2
CC5.3-POF5 | null | null | null | null | null | null | null | null | null | null | null | null | RQ-05-07 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 3.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Requirements Definitions | AAT-14 | Mechanisms exist to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 8 | Identify | X | X | X | There is no evidence of a capability to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 1.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Implementation Tasks Definition | AAT-14.1 | Mechanisms exist to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders). | null | null | Does the organization define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders)? | 8 | Protect | null | X | X | There is no evidence of a capability to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders). | SP-CMM1 is N/A, since a structured process is required to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders). | SP-CMM2 is N/A, since a well-defined process is required to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Knowledge Limits | AAT-14.2 | Mechanisms exist to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making. | null | null | Does the organization identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making? | 10 | Identify | X | X | X | There is no evidence of a capability to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making. | SP-CMM1 is N/A, since a structured process is required to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making. | SP-CMM2 is N/A, since a well-defined process is required to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MAP 2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Viability Decisions | AAT-15 | Mechanisms exist to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed. | null | null | Does the organization define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed? | 10 | Protect | X | X | X | There is no evidence of a capability to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed. | SP-CMM1 is N/A, since a structured process is required to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed. | SP-CMM2 is N/A, since a well-defined process is required to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Negative Residual Risks | AAT-15.1 | Mechanisms exist to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 9 | Protect | X | X | null | There is no evidence of a capability to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 1.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Responsibility To Supersede, Deactivate and/or Disengage AI & Autonomous Technologies | AAT-15.2 | Mechanisms exist to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use. | null | null | Does the organization define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use? | 10 | Protect | X | X | X | There is no evidence of a capability to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use. | SP-CMM1 is N/A, since a structured process is required to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use. | SP-CMM2 is N/A, since a well-defined process is required to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.
• Robust incident response and business continuity plans exist to respond to AAT-related emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 2.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Production Monitoring | AAT-16 | Mechanisms exist to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 9 | Detect | null | X | X | There is no evidence of a capability to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Measurement Approaches | AAT-16.1 | Mechanisms exist to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users. | null | null | Does the organization measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users? | 8 | Detect | null | X | null | There is no evidence of a capability to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users. | SP-CMM1 is N/A, since a structured process is required to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users. | SP-CMM2 is N/A, since a well-defined process is required to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 4.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Measuring AI & Autonomous Technologies Effectiveness | AAT-16.2 | Mechanisms exist to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities. | null | null | Does the organization regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities? | 5 | Detect | null | X | null | There is no evidence of a capability to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities. | SP-CMM1 is N/A, since a structured process is required to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities. | SP-CMM2 is N/A, since a well-defined process is required to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 1.0
MEASURE 1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Unmeasurable AI & Autonomous Technologies Risks | AAT-16.3 | Mechanisms exist to identify and document unmeasurable risks or trustworthiness characteristics. | null | null | Does the organization identify and document unmeasurable risks or trustworthiness characteristics? | 7 | Detect | X | X | null | There is no evidence of a capability to identify and document unmeasurable risks or trustworthiness characteristics. | SP-CMM1 is N/A, since a structured process is required to identify and document unmeasurable risks or trustworthiness characteristics. | SP-CMM2 is N/A, since a well-defined process is required to identify and document unmeasurable risks or trustworthiness characteristics. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document unmeasurable risks or trustworthiness characteristics. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document unmeasurable risks or trustworthiness characteristics. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Efficacy of AI & Autonomous Technologies Measurement | AAT-16.4 | Mechanisms exist to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements. | null | null | Does the organization gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements? | 5 | Detect | X | X | null | There is no evidence of a capability to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements. | SP-CMM1 is N/A, since a structured process is required to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements. | SP-CMM2 is N/A, since a well-defined process is required to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 4.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Domain Expert Reviews | AAT-16.5 | Mechanisms exist to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended. | null | null | Does the organization utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended? | 8 | Protect | null | X | null | There is no evidence of a capability to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended. | SP-CMM1 is N/A, since a structured process is required to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended. | SP-CMM2 is N/A, since a well-defined process is required to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 4.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | null | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Performance Changes | AAT-16.6 | Mechanisms exist to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues. | null | null | Does the organization evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues? | 10 | Protect | X | X | X | There is no evidence of a capability to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues. | SP-CMM1 is N/A, since a structured process is required to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues. | SP-CMM2 is N/A, since a well-defined process is required to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-2
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Pre-Trained AI & Autonomous Technologies Models | AAT-16.7 | Mechanisms exist to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities. | null | null | Does the organization validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities? | 8 | Protect | null | X | null | There is no evidence of a capability to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities. | SP-CMM1 is N/A, since a structured process is required to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities. | SP-CMM2 is N/A, since a well-defined process is required to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-2
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Harm Prevention | AAT-17 | Mechanisms exist to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | null | null | Does the organization proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks? | 10 | Protect | X | X | X | There is no evidence of a capability to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | SP-CMM1 is N/A, since a structured process is required to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | SP-CMM2 is N/A, since a well-defined process is required to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-2
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Human Subject Protections | AAT-17.1 | Mechanisms exist to protect human subjects from harm. | null | null | Does the organization protect human subjects from harm? | 10 | Protect | X | X | X | There is no evidence of a capability to protect human subjects from harm. | SP-CMM1 is N/A, since a structured process is required to protect human subjects from harm. | SP-CMM2 is N/A, since a well-defined process is required to protect human subjects from harm. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect human subjects from harm. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect human subjects from harm. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-2
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Environmental Impact & Sustainability | AAT-17.2 | Mechanisms exist to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | Does the organization assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT)? | 9 | Protect | X | X | null | There is no evidence of a capability to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM1 is N/A, since a structured process is required to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | SP-CMM2 is N/A, since a well-defined process is required to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 2.12 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-2
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | Previously Unknown AI & Autonomous Technologies Threats & Risks | AAT-17.3 | Mechanisms exist to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified. | null | null | Does the organization respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified? | 9 | Protect | X | X | X | There is no evidence of a capability to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified. | SP-CMM1 is N/A, since a structured process is required to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified. | SP-CMM2 is N/A, since a well-defined process is required to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-2
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Risk Tracking Approaches | AAT-18 | Mechanisms exist to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available. | null | null | Does the organization track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available? | 9 | Protect | X | X | X | There is no evidence of a capability to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available. | SP-CMM1 is N/A, since a structured process is required to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available. | SP-CMM2 is N/A, since a well-defined process is required to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MEASURE 3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-2
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Artificial & Autonomous Technologies | AI & Autonomous Technologies Risk Response | AAT-18.1 | Mechanisms exist to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output. | null | null | Does the organization prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output? | 10 | Protect | X | X | X | There is no evidence of a capability to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output. | SP-CMM1 is N/A, since a structured process is required to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output. | SP-CMM2 is N/A, since a well-defined process is required to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output. | Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services.
• AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented.
• Governance function for AAT is formally assigned with defined roles and associated responsibilities.
• A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT.
• Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.
• Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects.
• Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MANAGE 1.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | null | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-9
NT-10
NT-11
NT-12
NT-13
MT-2
MT-7
MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | null | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | null | null | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Asset Management | Asset Governance | AST-01 | Mechanisms exist to facilitate an IT Asset Management (ITAM) program to implement and manage asset management controls. | - Generally Accepted Accounting Principles (GAAP)
- ITIL - Configuration Management Database (CMDB)
- IT Asset Management (ITAM) program | E-AST-01 | Does the organization facilitate an IT Asset Management (ITAM) program to implement and manage asset management controls? | 10 | Identify | X | X | X | There is no evidence of a capability to facilitate an IT Asset Management (ITAM) program to implement and manage asset management controls. | Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Asset inventories are performed in an ad hoc manner.
• Software licensing is tracked as part of IT asset inventories.
• Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative.
• IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. | Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management.
• Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel.
• Technology assets are categorized according to data classification and business criticality.
• Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets.
• Software licensing is tracked as part of IT asset inventories.
• Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision.
• IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function to determine prioritized and authoritative guidance for asset management practices, within the broader scope of cybersecurity and data protection operations.
• The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization. This CONOPS for asset management may be incorporated as part of a broader operational plan for the cybersecurity & data privacy program.
• A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to facilitate the implementation of secure and compliant practices to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data. Compliance requirements for data backups are identified and documented.
• A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including asset management. The steering committee establishes a clear and authoritative accountability structure for asset management operations.
• An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management.
• An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments.
• An ITAM function, or similar function, conducts ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies.
• Technology assets and data are categorized according to data classification and business criticality criteria.
• A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body.
• Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.
• Anti-theft software is installed on laptops and mobile devices to track assets removal from facilities. If possible, alerting is enabled for sensitive/regulated assets.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. | Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | 1.0
1.3
2.0
2.1
2.2 | 2.1
2.2 | 1.3
2.1
2.2 | 1.3
2.1
2.2 | BAI09.01
BAI09.02
BAI09.03
BAI09.04
BAI09.05 | null | DCS-05 | ASM-02 | SO15 | null | null | null | null | null | null | 11.2.6 | 5.30
5.31
7.9 | 8.1
8.1.1 | null | null | null | null | null | null | null | Sec 4(D)(2)(b) | GOVERN 2.0 | PR.DS-P3 | null | P-18 | null | PM-5 | null | null | null | PM-5 | null | null | null | null | PM-5 | null | null | null | null | null | PM-5 | null | PM-5 | null | PM-5 | PM-5 | 3.4.1 | 3.1.18.a
3.4.8.a
3.4.8.b
3.4.8.c | null | null | 3.4.3e | null | ID.AM-1 | ID.AM | null | 12.3.3
12.3.4
12.3.7 | 6.3.2
9.5.1
9.5.1.1
11.2
11.2.2 | null | null | 9.5.1
9.5.1.1 | 9.5.1
9.5.1.1 | 9.5.1
9.5.1.1
11.2.2 | null | 9.5.1
9.5.1.1
11.2.2 | 9.5.1
9.5.1.1
11.2.2 | 9.5.1
9.5.1.1 | D.1 | null | 1.3
1.3.1 | null | null | null | ASSET-1.D.MIL2
ASSET-1.H.MIL3
ASSET-2.D.MIL2 | ADM:SG1.SP1
ADM:SG3.SP2
TM:SG1.SP1 | null | null | null | CM.L2-3.4.1 | null | null | CM.L2-3.4.1 | CM.L2-3.4.1
CM.L3-3.4.3e | PM-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.S.A | 5.M.A | 5.M.A
2.L.A | PM-5 | 120.45 | null | 8-311 | 1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 38-99-20(D)(2)(b) | null | null | PM-5 | null | null | null | null | null | 3.5(53)
3.5(54) | null | null | Art 32.1
Art 32.2 | Article 21.2(i) | null | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | 12.2 | AM-03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-1
2-5 | null | 3.3.3 | 2-1-1
2-1-2
2-6-1
2-6-2
2-6-4 | 2-1 | null | null | Sec 19.1
Sec 19.2 | null | null | null | null | null | null | A3.a | A3 | null | null | null | Principle 2.1
Principle 6.1 | Principle 2.1
Principle 6.1 | null | null | null | 0285
0286
0289
0290
0292
0591
1480
1457 | null | null | 21
21(c) | null | null | null | null | null | null | null | 8.1.1.6.PB
11.2.6 | null | 5.1 | 8.4.9.C.01 | null | null | null | null | 3.3.1
3.3.1(a)
3.3.1(d)
7.1.1
11.4.1
11.4.2
11.4.3 | null | null | null | null | null | 5.9 | null | null | 2.2.1 | null | null | null | null | null | null | null | null | null | null | x | NAIC | x | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-4
R-EX-6
R-EX-7
R-GV-2
R-GV-4
R-IR-1
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | null | R-BC-4 | null | null | null | null | null | null | R-EX-6 | R-EX-7 | null | R-GV-2 | null | R-GV-4 | null | null | null | null | R-IR-1 | null | null | null | R-SA-1 | null | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15
MT-16 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | MT-16 | null |
Asset Management | Asset-Service Dependencies | AST-01.1 | Mechanisms exist to identify and assess the security of technology assets that support more than one critical business function. | null | E-BCM-09 | Does the organization identify and assess the security of technology assets that support more than one critical business function? | 5 | Identify | null | X | X | There is no evidence of a capability to identify and assess the security of technology assets that support more than one critical business function. | SP-CMM1 is N/A, since a structured process is required to identify and assess the security of technology assets that support more than one critical business function. | Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management.
• Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel.
• Technology assets are categorized according to data classification and business criticality.
• Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets.
• Software licensing is tracked as part of IT asset inventories.
• Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision.
• IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.
• F or business-critical business services and assets, dependencies are reviewed by cybersecurity personnel for security concerns. | Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management.
• An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments.
• Technology assets and data are categorized according to data classification and business criticality criteria.
• A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body.
• Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.
• The CMDB, or similar tool, is leveraged to identify asset-service dependencies that can impact the security of technology assets, as well as relevant stakeholders and data/process owners.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy controls are addressed to ensure secure configurations are designed, built and maintained. | Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and assess the security of technology assets that support more than one critical business function. | null | CC5.2-POF1 | null | null | null | null | null | APO09.01
APO09.02
BAI09.01
BAI09.02 | null | null | null | null | null | null | RQ-09-08.a | null | null | null | null | 5.9
5.30 | null | null | null | null | null | null | null | null | null | null | ID.IM-P8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GV.OC-04
ID.AM-05 | null | null | null | null | null | null | null | null | null | null | null | null | K.12.3 | null | 3.1.3 | null | null | null | ASSET-1.A.MIL1 | ADM:SG2.SP2
EC:SG4.SP3
TM:SG5.SP4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | III.B.1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.3(17)
3.3.3(18)
3.5(54) | Art 8.5 | null | null | null | null | null | null | null | null | null | null | null | null | 12.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A3.a
B3.a | A4 | null | null | null | null | null | null | null | null | null | null | null | 21(a) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.9.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-4
R-EX-6
R-GV-2
R-IR-1
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | null | R-BC-4 | null | null | null | null | null | null | R-EX-6 | null | null | R-GV-2 | null | null | null | null | null | null | R-IR-1 | null | null | null | R-SA-1 | null | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Asset Management | Stakeholder Identification & Involvement | AST-01.2 | Mechanisms exist to identify and involve pertinent stakeholders of critical systems, applications and services to support the ongoing secure management of those assets. | null | E-CPL-03 | Does the organization identify and involve pertinent stakeholders of critical systems, applications and services to support the ongoing secure management of those assets? | 5 | Identify | null | X | null | There is no evidence of a capability to identify and involve pertinent stakeholders of critical systems, applications and services to support the ongoing secure management of those assets. | Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Asset inventories are performed in an ad hoc manner.
• Software licensing is tracked as part of IT asset inventories.
• Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative.
• IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. | Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management.
• Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel.
• Technology assets are categorized according to data classification and business criticality.
• Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets.
• Software licensing is tracked as part of IT asset inventories.
• Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision.
• IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. | Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management.
• An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments.
• Technology assets and data are categorized according to data classification and business criticality criteria.
• A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body.
• Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.
• Quarterly IT asset inventories are reviewed and shared with appropriate stakeholders. | Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and involve pertinent stakeholders of critical systems, applications and services to support the ongoing secure management of those assets. | null | null | null | null | null | null | null | EDM05.01
EDM05.02
EDM05.03
DSS06.02 | null | null | null | null | null | null | null | null | 4.2 | 4.2
4.2(a) | null | 5.9 | 8.1 | null | null | null | null | null | null | null | null | GOVERN 1.1
GOVERN 2.0
GOVERN 5.0 | ID.IM-P2
ID.IM-P8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | GV.OC-02 | null | null | null | null | null | null | null | null | null | null | null | null | D.1 | null | null | null | null | null | null | GG2.GP7
MON:SG1.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | III.A | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.2(16)
3.5(54) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-1-1-4 | null | null | null | null | null | null | null | null | null | A3.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.4.3
4.4.3.1 | null | null | null | null | null | null | null | 3.3.1(c) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-BC-1
R-BC-2
R-BC-4
R-BC-5
R-EX-6
R-GV-2
R-GV-4
R-IR-1 | null | null | null | null | null | null | R-AM-3 | R-BC-1 | R-BC-2 | null | R-BC-4 | R-BC-5 | null | null | null | null | null | R-EX-6 | null | null | R-GV-2 | null | R-GV-4 | null | null | null | null | R-IR-1 | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Asset Management | Standardized Naming Convention | AST-01.3 | Mechanisms exist to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts. | null | null | Does the organization implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts? | 5 | Identify | null | null | X | There is no evidence of a capability to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts. | SP-CMM1 is N/A, since a structured process is required to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts. | SP-CMM2 is N/A, since a well-defined process is required to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts. | Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management.
• An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments.
• Technology assets and data are categorized according to data classification and business criticality criteria.
• A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body.
• Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.
• Standardized and scalable naming conventions for systems, applications and services are in place to avoid asset naming conflicts. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts. | null | null | null | null | null | null | null | null | null | null | ASM-04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.1.1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-5
R-EX-1
R-EX-6
R-GV-1
R-GV-2
R-GV-6
R-GV-7
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | null | null | null | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | null | R-BC-5 | R-EX-1 | null | null | null | null | R-EX-6 | null | R-GV-1 | R-GV-2 | null | null | null | R-GV-6 | R-GV-7 | null | null | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Asset Management | Asset Inventories | AST-02 | Mechanisms exist to perform inventories of technology assets that:
▪ Accurately reflects the current systems, applications and services in use;
▪ Identifies authorized software products, including business justification details;
▪ Is at the level of granularity deemed necessary for tracking and reporting;
▪ Includes organization-defined information deemed necessary to achieve effective property accountability; and
▪ Is available for review and audit by designated organizational personnel. | - ManageEngine AssetExplorer
- LANDesk IT Asset Management Suite
- ServiceNow (https://www.servicenow.com/)
- SolarWinds (https://www.solarwinds.com/)
- CrowdStrike
- JAMF
- ITIL - Configuration Management Database (CMDB) | E-AST-04
E-AST-05
E-AST-07 | Does the organization perform inventories of technology assets that:
▪ Accurately reflects the current systems, applications and services in use;
▪ Identifies authorized software products, including business justification details;
▪ Is at the level of granularity deemed necessary for tracking and reporting;
▪ Includes organization-defined information deemed necessary to achieve effective property accountability; and
▪ Is available for review and audit by designated organizational personnel? | 10 | Identify | null | X | X | There is no evidence of a capability to perform inventories of technology assets that:
▪ Accurately reflects the current systems, applications and services in use;
▪ Identifies authorized software products, including business justification details;
▪ Is at the level of granularity deemed necessary for tracking and reporting;
▪ Includes organization-defined information deemed necessary to achieve effective property accountability; and
▪ Is available for review and audit by designated organizational personnel. | Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• Asset inventories are performed in an ad hoc manner.
• Software licensing is tracked as part of IT asset inventories.
• Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative.
• IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.
• Inventories are manual (e.g., spreadsheets).
• Assets are assigned owners and are documented.
• No structured process exists to review or share the results of the inventories. | Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management.
• Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel.
• Technology assets are categorized according to data classification and business criticality.
• Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets.
• Software licensing is tracked as part of IT asset inventories.
• Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision.
• IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.
• Maintenance of asset inventory is performed at least annually.
• Inventory of physical technology assets are assigned to individual users or teams and covers common devices (e.g., laptops, workstations and servers).
• Inventories may be manual (e.g., spreadsheets) or automated.
• No structured process exists to review or share the results of the inventories.
• Annual IT asset inventories validate or update stakeholders /owners. | Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management.
• An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments.
• Technology assets and data are categorized according to data classification and business criticality criteria.
• A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body.
• Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.
• Quarterly IT asset inventories are reviewed and shared with appropriate stakeholders.
• Inventories are predominately automated, but may have some manual components (e.g., cloud-based assets that are out of scope for automated inventory scans).
• Inventories processes include Indicators of Compromise (IoC) to identify evidence of physical tampering.
• Inventory scans are configured to be recurring, based on ITAM tool configuration settings.
• Annual IT asset inventories validate or update stakeholders / owners.
• A Software Asset Management (SAM) solution is used to centrally manage deployed software.
• An ITAM function, or similar function, conducts ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies. | Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | CC6.1-POF1 | null | 1.0
1.1
2.0
2.1
2.2
2.4
6.6 | 1.1
2.1
2.2 | 1.1
2.1
2.2
2.4
6.6 | 1.1
2.1
2.2
2.4
6.6 | BAI09.01 | null | DCS-05
DSP-03
STA-07
UEM-04 | ASM-01
SNT-04 | SO15 | null | CR 7.8 (11.10.1) | null | null | null | null | 8.1.1 | 5.9 | 8.1.1 | null | 6.5
6.5.1
6.5.1.1 | null | null | null | T1011.001, T1020.001, T1021.001, T1021.003, T1021.004, T1021.005, T1021.006, T1046, T1052, T1052.001, T1053, T1053.002, T1053.005, T1059, T1059.001, T1059.005, T1059.007, T1068, T1072, T1091, T1092, T1098.004, T1119, T1127, T1127.001, T1133, T1137, T1137.001, T1189, T1190, T1195.003, T1203, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1218, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1221, T1495, T1505, T1505.001, T1505.002, T1505.004, T1530, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1546.002, T1546.006, T1546.014, T1547.007, T1548, T1548.004, T1553, T1553.006, T1557, T1557.001, T1557.002, T1559, T1559.002, T1563, T1563.001, T1563.002, T1564.006, T1564.007, T1565, T1565.001, T1565.002, T1574, T1574.004, T1574.007, T1574.008, T1574.009, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002 | TS-5.0 | null | GOVERN 1.6 | ID.IM-P1 | null | P-10 | null | CM-8
PM-5 | CM-8 | CM-8 | CM-8 | CM-8
PM-5 | null | CM-8 | CM-8 | CM-8 | PM-5 | null | CM-8 | CM-8 | CM-8 | null | CM-8
PM-5 | CM-8 | CM-8
PM-5 | null | CM-8
PM-5 | CM-8
PM-5 | 3.4.1 | 3.4.8.a
3.4.8.c
3.4.10.a
3.4.10.b | 3.4.1[d]
3.4.1[e]
3.4.1[f] | A.03.04.10.a
A.03.04.10.b[01]
A.03.04.10.b[02] | 3.4.1e
3.4.3e | null | ID.AM-1
ID.AM-2
ID.AM-4 | ID.AM-01
ID.AM-02
ID.AM-07 | null | 1.1.2
2.4 | 6.3.2
9.5.1
9.5.1.1
11.2
11.2.2 | null | null | 9.5.1
9.5.1.1 | 9.5.1
9.5.1.1 | 9.5.1
9.5.1.1
11.2.2 | null | 9.5.1
9.5.1.1
11.2.2 | 9.5.1
9.5.1.1
11.2.2 | 9.5.1
9.5.1.1 | D.1.1 | null | 1.3.1 | null | null | null | ASSET-1.B.MIL2
ASSET-1.D.MIL2
ASSET-1.F.MIL3
ASSET-1.G.MIL3
ASSET-1.H.MIL3
ASSET-2.A.MIL1
ASSET-2.B.MIL2
ASSET-2.D.MIL2
ASSET-2.F.MIL3
ASSET-2.G.MIL3 | ADM:SG1.SP1
TM:SG1.SP1 | 2.3 | null | null | CM.L2-3.4.1 | CM.L2-3.4.1
TBD - 3.4.1e | null | CM.L2-3.4.1 | CM.L2-3.4.1
CM.L3-3.4.1e
CM.L3-3.4.3e | CM-8
PM-5 | null | 252.204-7018(c) | null | null | null | null | null | CM-8 | CM-8 | CM-8 | CM-8 | CM-8 | CM-8 | CM-8 | CM-8 | CM-8 | CM-8 | null | D1.G.IT.B.1
D4.RM.Dd.B.2
D4.C.Co.B.3 | null | null | null | 164.310(d)(2)(iii) | 5.S.A | 5.M.A
9.M.D | 5.M.A
9.M.D
2.L.E | CM-8
PM-5 | null | null | null | null | null | null | null | null | null | CM-8 | CM-8 | CM-8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-8
PM-5 | CM-8 | CM-8 | null | null | null | 3.5(53)
3.5(54) | Art 8.4
Art 8.6 | null | null | null | null | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | 8.2
12.2 | AM-01
AM-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-1-1-1 | null | null | null | 2-1
2-1-1
2-1-1-3 | null | null | null | null | 7.3.1 [OP.EXP.1] | null | null | null | null | A3.a
B3.e | null | null | null | null | Principle 2.1
Principle 6.1 | Principle 2.1
Principle 6.1 | null | null | null | 0336
1643
1807 | null | null | null | null | null | null | null | null | null | null | 8.1.1
8.1.1.6.PB | null | null | 8.4.8.C.01
8.4.9.C.01 | null | null | null | null | 3.3.1(a)
3.3.2 | null | null | null | null | null | 5.9 | null | 3.1 | 2.2.2
2.2.3
3.1.4 | null | null | null | null | null | null | null | null | null | null | x | Lockton | null | x | R-AC-2
R-AC-3
R-AC-4
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-6
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-3 | null | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | null | null | null | null | null | null | R-EX-6 | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | null | R-IR-3 | null | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Asset Management | Updates During Installations / Removals | AST-02.1 | Mechanisms exist to update asset inventories as part of component installations, removals and asset upgrades. | - CrowdStrike
- JAMF
- ITIL - Configuration Management Database (CMDB) | null | Does the organization update asset inventories as part of component installations, removals and asset upgrades? | 7 | Identify | null | null | X | There is no evidence of a capability to update asset inventories as part of component installations, removals and asset upgrades. | SP-CMM1 is N/A, since a structured process is required to update asset inventories as part of component installations, removals and asset upgrades. | SP-CMM2 is N/A, since a well-defined process is required to update asset inventories as part of component installations, removals and asset upgrades. | Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management.
• An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments.
• Technology assets and data are categorized according to data classification and business criticality criteria.
• A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body.
• Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.
• The process of purchasing, updating, repairing and disposing of assets is integrated into ITAM processes. | Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to update asset inventories as part of component installations, removals and asset upgrades. | null | null | null | null | null | null | null | null | null | null | null | null | null | CR 7.8 (11.10.1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | ID.IM-P1 | null | null | null | CM-8(1) | null | CM-8(1) | CM-8(1) | CM-8(1) | null | null | CM-8(1) | CM-8(1) | null | null | null | CM-8(1) | CM-8(1) | null | CM-8(1) | null | null | null | null | CM-8(1) | null | 3.4.10.c | 3.4.1[f] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.1.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-8(1) | null | null | null | null | null | null | null | CM-8(1) | null | CM-8(1) | CM-8(1) | null | CM-8(1) | null | CM-8(1) | CM-8(1) | null | null | null | null | null | null | 164.310(d)(2)(iii) | 5.S.A | 5.M.A
9.M.D | 5.M.A
9.M.D
2.L.A | CM-8(1) | null | null | null | null | null | null | null | null | null | null | CM-8(1) | CM-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-8(1) | null | null | null | null | Art 8.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | AM-01
AM-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-1-1-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-3
R-BC-2
R-BC-4
R-GV-2
R-IR-1
R-SA-1 | null | null | null | R-AC-4 | null | null | R-AM-3 | null | R-BC-2 | null | R-BC-4 | null | null | null | null | null | null | null | null | null | R-GV-2 | null | null | null | null | null | null | R-IR-1 | null | null | null | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Asset Management | Automated Unauthorized Component Detection | AST-02.2 | Automated mechanisms exist to detect and alert upon the detection of unauthorized hardware, software and firmware components. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- DHCP logging
- Active discovery tools
- NNT Change Tracker (https://www.newnettechnologies.com)
- Vectra
- Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)
- Puppet (https://puppet.com/)
- Chef (https://www.chef.io/) (https://www.chef.io/)
- Microsoft SCCM
- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Does the organization use automated mechanisms to detect and alert upon the detection of unauthorized hardware, software and firmware components? | 3 | Detect | null | null | X | There is no evidence of a capability to detect and alert up on the detection of unauthorized hardware, software and firmware components. | SP-CMM1 is N/A, since a structured process is required to detect and alert up on the detection of unauthorized hardware, software and firmware components. | SP-CMM2 is N/A, since a well-defined process is required to detect and alert up on the detection of unauthorized hardware, software and firmware components. | Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management.
• An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments.
• Technology assets and data are categorized according to data classification and business criticality criteria.
• A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body.
• Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.
• The ITAM tool is configured to detect and alert on instances of duplication, unauthorized components and unauthorized software.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the change is malicious in nature. | Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to detect and alert up on the detection of unauthorized hardware, software and firmware components. | null | CC7.1-POF4 | null | 1.2
1.3
1.5
2.2
2.3
2.4 | 1.2
2.2
2.3 | 1.2
1.3
2.2
2.3
2.4 | 1.2
1.3
1.5
2.2
2.3
2.4 | null | null | null | CCM-06
SNT-04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-8(3) | null | CM-8(3) | CM-8(3) | CM-8(3) | null | null | CM-8(3) | CM-8(3) | null | null | null | CM-8(3) | CM-8(3) | null | null | null | null | null | null | null | null | null | null | A.03.04.10.c[01]
A.03.04.10.c[02]
A.03.04.10.c[03] | 3.4.3e
3.5.3e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.2.4 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.5.3e | null | null | CM.L3-3.4.3e
IA.L3-3.5.3e | CM-8(3) | null | null | null | null | null | null | null | CM-8(3) | null | CM-8(3) | CM-8(3) | null | CM-8(3) | null | CM-8(3) | CM-8(3) | null | null | null | null | null | null | null | null | null | 5.L.A
5.L.B | CM-8(3) | null | null | null | null | null | null | null | null | null | null | null | CM-8(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-8(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AM-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-3-1-11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1807 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AM-3
R-BC-4
R-EX-6
R-GV-2
R-IR-1
R-IR-4
R-SA-1 | null | null | null | null | null | null | R-AM-3 | null | null | null | R-BC-4 | null | null | null | null | null | null | R-EX-6 | null | null | R-GV-2 | null | null | null | null | null | null | R-IR-1 | null | null | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Asset Management | Component Duplication Avoidance | AST-02.3 | Mechanisms exist to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories. | - ITIL - Configuration Management Database (CMDB)
- Manual or automated process | null | Does the organization establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories? | 2 | Identify | null | X | X | There is no evidence of a capability to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories. | SP-CMM1 is N/A, since a structured process is required to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories. | SP-CMM2 is N/A, since a well-defined process is required to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories. | Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management.
• An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments.
• Technology assets and data are categorized according to data classification and business criticality criteria.
• A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body.
• Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. | Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories. | null | null | null | 1.3 | null | 1.3 | 1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | T1011.001, T1020.001, T1021.001, T1021.003, T1021.004, T1021.005, T1021.006, T1046, T1052, T1052.001, T1053, T1053.002, T1053.005, T1059, T1059.001, T1059.005, T1059.007, T1068, T1072, T1091, T1092, T1098.004, T1119, T1127, T1127.001, T1133, T1137, T1137.001, T1189, T1190, T1195.003, T1203, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1218, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1221, T1495, T1505, T1505.001, T1505.002, T1505.004, T1530, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1546.002, T1546.006, T1546.014, T1547.007, T1548, T1548.004, T1553, T1553.006, T1557, T1557.001, T1557.002, T1559, T1559.002, T1563, T1563.001, T1563.002, T1564.006, T1564.007, T1565, T1565.001, T1565.002, T1574, T1574.004, T1574.007, T1574.008, T1574.009, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002 | null | null | null | null | null | null | null | CM-8(5) | null | CM-8(5) | CM-8(5) | CM-8 | null | CM-8 | CM-8 | CM-8 | null | null | CM-8 | CM-8 | CM-8 | null | CM-8 | CM-8 | CM-8 | null | CM-8 | CM-8 | NFO - CM-8(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-8(5) | null | null | null | null | null | null | null | CM-8(5) | null | CM-8(5) | CM-8(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.L.A | CM-8 | null | null | null | null | null | null | null | null | null | null | null | CM-8(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-8 | null | CM-8(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AM-3
R-BC-2
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-GV-6
R-GV-7 | null | null | null | null | null | null | R-AM-3 | null | R-BC-2 | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | null | null | null | null | null | null | R-GV-6 | R-GV-7 | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |