BlackAether/Frameworks-and-Controls · Datasets at Hugging Face

Asset Management

Approved Baseline Deviations

AST-02.4

Mechanisms exist to document and govern instances of approved deviations from established baseline configurations.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/) - SCCM - Puppet (https://puppet.com/) - Chef (https://www.chef.io/) (https://www.chef.io/) - Microsoft SCCM

E-RSK-03 E-TDA-14

Does the organization document and govern instances of approved deviations from established baseline configurations?

8

Identify

null

X

There is no evidence of a capability to document and govern instances of approved deviations from established baseline configurations.

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. • System configurations loosely conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) • Deviations from approved baseline configurations are handled on a case-by-case basis by IT/cybersecurity personnel. Acceptance of any deviations from baselines must be informed by performance of a risk assessment.

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. • Documented procedures exist for requesting a deviation from approved deviations. • Any deviations from approved baseline configurations must be formally reviewed, approved and documented (both approved and unapproved) in a repository by cybersecurity personnel. • Deviations from approved software deployments are reviewed, approved and documented on a case-by-case basis by IT/cybersecurity personnel.

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. • Formalized steps and requirements for requesting a deviation to a standard are published. • The request for a deviation from approved baseline configurations is centrally managed and tracked by ITAM who routes the request to cybersecurity personnel for assessment. • Deviations to baseline configurations are required to have a risk assessment performed and the appropriate business stakeholder accept any risk(s) associated with the deviation.

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 document and govern instances of approved deviations from established baseline configurations.

null

CM-8(6)

null

CM-8(6)

null

CM-8(6)

null

CM-8(6)

null

CM-8(6)

null

3.4.2.b

null

C.1.6

null

SP-03

null

6.8

null

x

null

x

R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

null

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

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Network Access Control (NAC)

AST-02.5

Automated mechanisms exist to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.

- Cisco NAC - Aruba Networks - Juniper NAC - Packet Fence - Symantec NAC - Sophos NAC - Bradford Networks NAC Director - Cisco ISE - ForeScout

null

Does the organization use automated mechanisms to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices?

4

Protect

null

X

There is no evidence of a capability to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.

SP-CMM1 is N/A, since a structured process is required to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.

SP-CMM2 is N/A, since a well-defined process is required to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.

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. • Network Access Control (NAC) technologies are deployed on network segments and/ or endpoint devices to prevent unauthorized network communications, as well as personal and third-party devices from connecting to internal networks. • NAC is also configured to alert cybersecurity personnel for possible incidents (e.g., NAC logs are directed to a SIEM).

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 employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.

null

13.9

null

13.9

null

IA-3(4)

null

IA-3(4) SC-7(19)

null

SC-7(19)

null

SC-7(19)

null

3.5.3e

null

N.2.4

null

TBD - 3.5.3e

null

IA.L3-3.5.3e

null

5.L.B 6.L.E

null

23.6

null

B2.b

null

0520 1182

null

11.2.4

null

4.21 4.24

null

x

null

x

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-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 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-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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

null

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

null

NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

- wordsmithed control

Asset Management

Dynamic Host Configuration Protocol (DHCP) Server Logging

AST-02.6

Mechanisms exist to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems.

- Splunk - Manual Process - Build Automation Tools - NNT Log Tracker (https://www.newnettechnologies.com/event-log-management.html) - Chef (https://www.chef.io/) (https://www.chef.io/) - Puppet (https://puppet.com/) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)

E-MON-04

Does the organization enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems?

3

Identify

null

X

There is no evidence of a capability to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems.

SP-CMM1 is N/A, since a structured process is required to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems.

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. • DHCP logs are forwarded to a centralized log collect or (e.g., syslog server or log aggregator). • Dynamic Host Configuration Protocol (DHCP) logging is enabled on all DHCP servers.

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. • DHCP logs are forwarded to a Security Incident Event Manager (SIEM). • Dynamic Host Configuration Protocol (DHCP) logging is enabled on all DHCP servers.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems.

null

1.4 1.5

null

1.4

1.4 1.5

null

D.1.1.12

null

Principle 2.1 Principle 6.1

null

x

null

R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-5 R-EX-6 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

null

R-AC-4

R-AM-1

null

R-AM-3

R-BC-1

R-BC-2

null

R-EX-1

R-EX-2

null

R-EX-5

R-EX-6

null

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-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Software Licensing Restrictions

AST-02.7

Mechanisms exist to protect Intellectual Property (IP) rights with software licensing restrictions.

- Manual Process - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)

null

Does the organization protect Intellectual Property (IP) rights with software licensing restrictions?

8

Identify

null

X

There is no evidence of a capability to protect Intellectual Property (IP) rights with software licensing restrictions.

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. • Organizational policies and standards cover software licensing restrictions for users, as part of acceptable and unacceptable behaviors.

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. • Organizational policies and standards cover software licensing restrictions for users, as part of acceptable and unacceptable behaviors. • Software license violations are investigated by the ITAM team, in coordination with cybersecurity personnel, whenever necessary.

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 protect Intellectual Property (IP) rights with software licensing restrictions.

null

2.2

BAI09.05

null

18.1.2

5.32 6.2

18.1.2

null

6.15.1.2

null

SC-18(2)

null

SC-18(2)

null

SC-18(2)

null

SC-18(2)

null

SC-18(2)

null

L.25

null

SC-18(2)

null

3.1

null

3

null

18.1.2 18.1.2.13.PB

null

x

null

x

R-AC-3 R-AM-1 R-AM-3 R-BC-4 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-4 R-GV-6 R-IR-3 R-SA-1

null

R-AC-3

null

R-AM-1

null

R-AM-3

null

R-BC-4

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

null

R-GV-4

null

R-GV-6

null

R-IR-3

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Data Action Mapping

AST-02.8

Mechanisms exist to create and maintain a map of technology assets where sensitive/regulated data is stored, transmitted or processed.

- Visio - Lucid Chart

E-DCH-05

Does the organization create and maintain a map of technology assets where sensitive/regulated data is stored, transmitted or processed?

9

Identify

null

X

There is no evidence of a capability to create and maintain a map of technology assets where sensitive/regulated data is stored, transmitted or processed.

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. • on at least an annual basis, or after any major technology or process change, the data/process owner updates the data mapping documentation.

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. • on at least an annual basis, or after any major technology or process change, the data/process owner updates any data mapping documentation. • A Data Protection Officer (DPO) maintains a centralized repository of personal data mapping, as well as sensitive/regulated data flows.

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 create and maintain a map of technology assets where sensitive/regulated data is stored, transmitted or processed.

null

5.9

null

ID.IM-P1 ID.IM-P4 ID.IM-P5 ID.IM-P8

null

CM-13

null

CM-13

null

CM-13

null

CM-13

null

3.4.11.a 3.4.11.c 3.15.2.a.5

null

P.2.3

null

CM-13

null

2-4-1-16

null

Lockton

null

R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 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-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-SA-1

null

R-AC-4

null

R-AM-2

R-AM-3

null

R-BC-2

null

R-BC-4

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

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

null

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

NT-7

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

Asset Management

Configuration Management Database (CMDB)

AST-02.9

Mechanisms exist to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.

- Configuration Management Database (CMDB)

null

Does the organization implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information?

5

Identify

null

X

There is no evidence of a capability to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.

SP-CMM1 is N/A, since a structured process is required to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.

SP-CMM2 is N/A, since a well-defined process is required to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.

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. • ITAM leverages an established Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets and user assignment. • 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. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.

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 implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.

null

2.4

null

2.4

EDM05.01 EDM05.02 EDM05.03 APO01.06

null

TS-5.0

null

CM-8(2)

null

CM-8(2)

CM-8(2) CM-8(7)

null

CM-8(2)

CM-8(7)

null

CM-8(2)

null

CM-8(2) CM-8(7)

null

CM-8(2) CM-8(7)

null

3.4.8.a 3.4.8.b 3.4.8.c 3.4.10.a 3.4.10.b 3.4.10.c

null

3.4.2e 3.4.3e

null

D.1.1

null

ASSET-1.D.MIL2 ASSET-1.H.MIL3 ASSET-2.D.MIL2 ASSET-2.E.MIL2 ASSET-2.F.MIL3 ASSET-2.G.MIL3

ADM:SG3.SP2 SC:SG7.SP1

null

TBD - 3.4.3e

null

CM.L3-3.4.2e CM.L3-3.4.3e

null

CM-8(2)

null

CM-8(2)

null

CM-8(2)

null

CM-8(2)

null

2-1-1 2-1-1-2 2-1-1-3

null

Principle 2.1 Principle 6.1

null

1493

null

2.2.2 2.2.3

null

x

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-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-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

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

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Automated Location Tracking

AST-02.10

Mechanisms exist to track the geographic location of system components.

null

Does the organization track the geographic location of system components?

5

Identify

null

X

There is no evidence of a capability to track the geographic location of system components.

SP-CMM1 is N/A, since a structured process is required to track the geographic location of system components.

SP-CMM2 is N/A, since a well-defined process is required to track the geographic location of system 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. • ITAM, or a supporting system, has the capability to bind components to a specific IT assets and track the real-time GPS location of the device.

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

CM-8(8)

null

CM-8(8)

null

CM-8(8)

null

D.1.1.10

null

R-AM-1 R-AM-2 R-AM-3 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

R-AM-1

R-AM-2

R-AM-3

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

MT-2 MT-8 MT-9 MT-12 MT-13 MT-14

null

MT-2

null

MT-8

MT-9

null

MT-12

MT-13

MT-14

null

Asset Management

Component Assignment

AST-02.11

Mechanisms exist to bind components to a specific system.

null

Does the organization bind components to a specific system?

3

Identify

null

X

There is no evidence of a capability to bind components to a specific system.

SP-CMM1 is N/A, since a structured process is required to bind components to a specific system.

SP-CMM2 is N/A, since a well-defined process is required to bind components to a specific system.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to bind components to a specific system.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to bind components to a specific system.

null

CM-8(9)

null

CM-8(9)

null

CM-8(9)

null

G.3

null

R-AC-3 R-AM-1 R-AM-2 R-AM-3 R-IR-1 R-IR-2 R-IR-3 R-IR-4

null

R-AC-3

null

R-AM-1

R-AM-2

R-AM-3

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

MT-2 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15

null

MT-2

null

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Asset Ownership Assignment

AST-03

Mechanisms exist to ensure asset ownership responsibilities are assigned, tracked and managed at a team, individual, or responsible organization level to establish a common understanding of requirements for asset protection.

null

E-AST-01 E-CPL-03

Does the organization ensure asset ownership responsibilities are assigned, tracked and managed at a team, individual, or responsible organization level to establish a common understanding of requirements for asset protection?

8

Identify

null

X

null

There is no evidence of a capability to ensure asset ownership responsibilities are assigned, tracked and managed at a team, individual, or responsible organization level to establish a common understanding of requirements for asset protection.

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. • Inventory of physical technology assets are assigned to individual users or teams and covers common devices (e.g., laptops, workstations and servers). • Organizational policies and standards cover: o Enhanced security requirements for unattended systems (e.g., kiosks, ATMs, etc.) and point of sale devices. o Media handling requirements for users. o Requirements for approving assets from entering or existing facilities. o Requirements for users to dispose of, destroy or repurpose system components when it is no longer needed for business or legal reasons. o Requirements for users to secure laptops while traveling. o Software licensing restrictions for users, as part of acceptable and unacceptable behaviors. o Use of personal devices (e.g., Bring Your Own Device (BYOD), as part of acceptable and unacceptable behaviors. o Use of third-party devices, as part of acceptable and unacceptable behaviors.

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. • Data/process owners for business-critical assets are documented and are reviewed as part of the annual 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. • Stakeholders leverage ITAM tools to create and maintain an inventory of systems, applications and services, that need to adhere to statutory, regulatory and/ or contractual requirements, with sufficient detail to determine control applicability. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • Data/process owners for business-critical assets are documented and are reviewed as part of the annual asset inventories.

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

APO01.06

null

8.1.2

5.9

8.1.2

null

6.5.1.2

null

ID.IM-P2

null

SA-4(12)

null

SA-4(12)

null

SA-4(12)

null

2.5

2.2.2 2.2.4 2.2.5 6.5.2

2.2.2

2.2.2 2.2.4 2.2.5 6.5.2

null

2.2.2

2.2.2 2.2.4 2.2.5 6.5.2

2.2.2 2.2.4 2.2.5

2.2.2 2.2.4 2.2.5 6.5.2

null

D.8

null

ADM:SG1.SP3

null

SA-4(12)

null

III.A

null

Sec 14 Sec 15

Art 16

null

2-1-1-2

null

1071

null

8.1.2 8.1.2.7.PB

null

x

null

x

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-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

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

null

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-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

NT-7

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

- Added NIST 800-53 R5 mapping for SA-4(12)

Asset Management

Accountability Information

AST-03.1

Mechanisms exist to include capturing the name, position and/or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process.

null

E-AST-01

Does the organization include capturing the name, position and/or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process?

5

Identify

null

X

There is no evidence of a capability to include capturing the name, position and/ or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process.

SP-CMM1 is N/A, since a structured process is required to include capturing the name, position and/ or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process.

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. • Stakeholders leverage ITAM tools to create and maintain an inventory of systems, applications and services, that need to adhere to statutory, regulatory and/ or contractual requirements, with sufficient detail to determine control applicability.

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 include capturing the name, position and/ or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process.

null

EDM05.01 EDM05.02 EDM05.03 APO01.06

null

5.9

null

ID.IM-P2

null

CM-8(4)

null

CM-8(4)

null

CM-8(4)

null

CM-8(4)

null

CM-8(4)

null

CM-8(4)

null

D.1.1.2

null

ADM:SG1.SP3

null

CM-8(4)

null

CM-8(4)

null

CM-8(4)

null

CM-8(4)

null

x

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-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-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

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

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Provenance

AST-03.2

Mechanisms exist to track the origin, development, ownership, location and changes to systems, system components and associated data.

null

E-AST-22

Does the organization track the origin, development, ownership, location and changes to systems, system components and associated data?

8

Identify

null

X

There is no evidence of a capability to track the origin, development, ownership, location and changes to systems, system components and associated data.

SP-CMM1 is N/A, since a structured process is required to track the origin, development, ownership, location and changes to systems, system components and associated data.

SP-CMM2 is N/A, since a well-defined process is required to track the origin, development, ownership, location and changes to systems, system components and associated 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: • 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. • ITAM tracks the origin, development, ownership, location and changes to a system, system components and associated data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to track the origin, development, ownership, location and changes to systems, system components and associated data.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to track the origin, development, ownership, location and changes to systems, system components and associated data.

null

CR 3.13 (7.15) EDR 3.12 (13.7.1)

null

5.21

null

T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1059.002, T1204.003, T1505, T1505.001, T1505.002, T1505.004, T1546.006, T1554, T1567, T1601, T1601.001, T1601.002

null

PW.4 PW.4.1

null

SR-4 SR-4(1) SR-4(2)

null

SR-4 SR-4(1) SR-4(2)

null

SR-4

null

SR-4

null

ID.RA-09

null

P.2.3.7

null

1790 1791 1792

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-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-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

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

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 MT-1 MT-2 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

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Network Diagrams & Data Flow Diagrams (DFDs)

AST-04

Mechanisms exist to maintain network architecture diagrams that: ▪ Contain sufficient detail to assess the security of the network's architecture; ▪ Reflect the current architecture of the network environment; and ▪ Document all sensitive/regulated data flows.

- High-Level Diagram (HLD) - Low-Level Diagram (LLD) - Data Flow Diagram (DFD) - SolarWinds (https://www.solarwinds.com/) - Paessler - PRTG

E-DCH-03 E-DCH-04 E-DCH-05

Does the organization maintain network architecture diagrams that: ▪ Contain sufficient detail to assess the security of the network's architecture; ▪ Reflect the current architecture of the network environment; and ▪ Document all sensitive/regulated data flows?

10

Identify

null

X

There is no evidence of a capability to maintain network architecture diagrams that: ▪ Contain sufficient detail to assess the security of the network's architecture; ▪ Reflect the current architecture of the network environment; and ▪ Document all sensitive/regulated data flows.

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. • on at least an annual basis, or after any major technology or process change, network diagrams are updated to reflect the current topology.

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. • Data/process owners generate Data Flow Diagrams (DFDs) and network diagrams to document the flow of data to create and maintain a map of systems where sensitive/regulated data is stored, transmitted or processed. • Data/process owners document where personal data is stored, transmitted and/ or processed.

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. • Stakeholders create network diagrams that graphically represent compliance boundaries (e.g., in-scope vs out-of-scope). • Data/process owners document where personal data is stored, transmitted and/ or processed.

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 maintain network architecture diagrams that: ▪ Contain sufficient detail to assess the security of the network's architecture; ▪ Reflect the current architecture of the network environment; and ▪ Document all sensitive/regulated data flows.

CC2.1

C1.1-POF1

null

3.8 12.4

null

3.8 12.4

null

Principle 13

DSP-05 IVS-08

DAT-03

null

5.9 8.20

null

TS-2.2

null

ID.IM-P1

null

P-11

null

PL-2 SA-5(1) SA-5(2) SA-5(3) SA-5(4)

PL-2

PL-2 SA-4(1) SA-4(2)

PL-2

PL-2 SA-4(1) SA-4(2)

null

PL-2

PL-2 SA-4(1) SA-4(2)

null

PL-2

null

PL-2

null

3.1.3 3.4.11.a 3.4.11.c 3.15.2.a.5

null

3.11.4e

null

ID.AM-3

ID.AM-03

null

1.1.2 1.1.3

1.2.3 1.2.4

null

1.2.3 1.2.4

null

1.2.3

null

1.2.3 1.2.4

null

N.1.1

null

4.1 5.1 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9

null

AM:SG1.SP1 EF:SG2.SP1 TM:SG1.SP1 TM:SG2.SP1 TM:SG2.SP2

7.4

5.7.1.2

null

TBD - 3.11.4e

null

RA.L3-3.11.4e

PL-2

null

PL-2

null

D4.C.Co.B.4 D4.C.Co.Int.1

null

4.L.B 8.L.D

PL-2 SA-4(1) SA-4(2)

null

PL-2

III.B.1.c

null

PL-2

null

Art 8.4

Art 9

Art 30.1 Art 30.2 Art 30.3 Art 30.4 Art 30.5

null

Sec 14 Sec 15

Art 16

null

COS-07

null

2-4-1-16

null

B3.a B4.c

null

0516 0518 1645 1646

null

18.1.9.C.02 18.1.11.C.01 18.1.12.C.01 18.1.12.C.02

null

3.1

null

x

null

x

R-AC-1 R-AC-2 R-AC-4 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-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-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

null

R-AC-4

null

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

null

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

null

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-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Asset Scope Classification

AST-04.1

Mechanisms exist to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).

null

E-AST-02 E-CPL-02 E-DCH-01 E-DCH-02

Does the organization determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties)?

8

Identify

null

X

There is no evidence of a capability to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).

SP-CMM1 is N/A, since a structured process is required to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).

SP-CMM2 is N/A, since a well-defined process is required to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).

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. • Stakeholders performs perform annual scoping evaluations to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).

null

CC2.2-POF9

null

4.3

null

PE-22 SA-5

null

SA-5

PE-22

null

PE-22

null

SA-5

null

SA-5

null

3.4.11.a 3.4.11.c

null

A3.2.5

null

P.2.1

null

7.4

null

SA-5

null

III.B.1.c

null

3.3.3(17) 3.3.3(18)

null

12.4

null

A3.a B3.a

null

R-AC-1 R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 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-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

R-AC-1

null

R-AC-4

null

R-AM-3

null

R-BC-2

null

R-BC-4

R-BC-5

R-EX-1

R-EX-2

null

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

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

MT-8 MT-9 MT-12 MT-13 MT-14 MT-15

null

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

- Added NIST 800-53 R5 mapping for PE-22

Asset Management

Control Applicability Boundary Graphical Representation

AST-04.2

Mechanisms exist to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.

null

E-AST-02 E-CPL-02

Does the organization ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries?

6

Identify

null

X

There is no evidence of a capability to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.

SP-CMM1 is N/A, since a structured process is required to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.

SP-CMM2 is N/A, since a well-defined process is required to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.

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. • Stakeholders create network diagrams that graphically represent compliance boundaries (e.g., in-scope vs out-of-scope).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.

null

CC2.2-POF9 CC5.2-POF2

null

TS-2.2

null

3.4.11.a 3.4.11.c 3.15.2.a.2

null

1.2.3 6.3.2 12.5.2.1 A3.2.5

null

1.2.3

null

1.2.3

null

1.2.3

1.2.3 12.5.2.1

null

N.1.3

null

7.4

null

III.B.1.c

null

2-4-1-16

null

B3.a

null

R-AM-3 R-EX-5 R-GV-1 R-SA-1

null

R-AM-3

null

R-EX-5

null

R-GV-1

null

R-SA-1

null

MT-8 MT-9 MT-12 MT-13 MT-14 MT-15

null

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Compliance-Specific Asset Identification

AST-04.3

Mechanisms exist to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.

null

E-AST-02 E-CPL-02

Does the organization create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization?

6

Identify

null

X

There is no evidence of a capability to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.

SP-CMM1 is N/A, since a structured process is required to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.

SP-CMM2 is N/A, since a well-defined process is required to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.

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. • Stakeholders create network diagrams that graphically represent compliance boundaries (e.g., in-scope vs out-of-scope).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.

null

12.5.1 12.5.2.1 A3.2.5

null

12.5.1

12.5.1 12.5.2.1

null

B.1.1.3

null

B3.a

null

R-AM-3 R-EX-5 R-GV-1 R-SA-1

null

R-AM-3

null

R-EX-5

null

R-GV-1

null

R-SA-1

null

MT-8 MT-9 MT-12 MT-13 MT-14 MT-15

null

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Security of Assets & Media

AST-05

Mechanisms exist to maintain strict control over the internal or external distribution of any kind of sensitive/regulated media.

- ITIL - Configuration Management Database (CMDB) - Definitive Software Library (DSL)

null

Does the organization maintain strict control over the internal or external distribution of any kind of sensitive/regulated media?

8

Identify

null

X

null

There is no evidence of a capability to maintain strict control over the internal or external distribution of any kind of sensitive/regulated media.

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. • Data classification and handling criteria govern user behavior for media handling. • Organizational policies and standards cover media handling requirements.

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. • Data classification and handling criteria govern user behavior for media handling. • Organizational policies and standards cover media handling requirements. • Users are educated on their responsibilities to strictly control sensitive/regulated media (e.g., USBs, mobile devices, external drives, etc.).

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 maintain strict control over the internal or external distribution of any kind of sensitive/regulated media.

null

11.2.6

7.9

11.2.6

null

6.8.2.6

null

NFO - MP-1

3.7.4.a 3.7.4.d 3.7.4.d.1 3.7.4.d.2 3.7.4.d.3

null

9.6 9.6.1 9.6.2 9.6.3

9.4.4

null

D.3

null

2-6-1-4

null

0161 1178

null

11.2.6

null

x

null

x

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-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-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

null

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

null

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-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

Asset Management

Management Approval For External Media Transfer

AST-05.1

Mechanisms exist to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.

null

Does the organization obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities?

8

Protect

null

X

There is no evidence of a capability to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.

SP-CMM1 is N/A, since a structured process is required to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.

SP-CMM2 is N/A, since a well-defined process is required to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.

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. • Data classification and handling criteria govern user behavior for media handling. • Organizational policies and standards cover media handling requirements. • Users are educated on their responsibilities to strictly control sensitive/regulated media (e.g., USBs, mobile devices, external drives, etc.). • Users are required to obtain management approval for any sensitive/regulated media before it is transferred outside of the organization's facilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.

null

9.4.4

null

D.11.2

2.5A 2.9

null

2-6-1-5

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-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-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

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

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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-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

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Unattended End-User Equipment

AST-06

Mechanisms exist to implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - File Integrity Monitoring (FIM) - Lockable casings - Tamper detection tape - Full Disk Encryption (FDE) - NNT Change Tracker (https://www.newnettechnologies.com)

null

Does the organization implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access?

9

Protect

null

X

null

There is no evidence of a capability to implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access.

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. • Hardened system configurations are used for unattended systems to enforce the principle of least functionality by removing unnecessary accounts, applications and services.

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. • Hardened system configurations are used for unattended systems to enforce the principle of least functionality by removing unnecessary accounts, applications and services. • File Integrity Monitoring (FIM) is deployed on systems and unattended systems that store, process or transmit sensitive/regulated data to monitor the integrity of business-critical files to detect tampering. • Host-based Intrusion Prevention System (HIPS) is deployed on both systems and unattended systems to identify and block hostile activities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access.

null

11.2.6 11.2.8

7.9 8.1

11.2.6 11.2.8

null

6.8.2.8

null

9.5 9.5.1

null

9.5 9.5.1

null

9.5 9.5.1

9.5.1

M.3.10

null

8.3.2 [MP.EQ.2]

null

0161

null

11.2.6 11.2.8

null

x

null

x

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-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-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

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

null

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-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

Asset Management

Asset Storage In Automobiles

AST-06.1

Mechanisms exist to educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle.

- Security awareness training - Gamification

null

Does the organization educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle?

7

Protect

null

X

null

There is no evidence of a capability to educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle.

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. • Security awareness training covers recommended practices for securing laptops and mobile devices while traveling.

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. • Security awareness training covers recommended practices for securing laptops and mobile devices while traveling.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle.

null

M.3.4.7.2

null

8.3.1

null

AM-02

null

R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-2 R-EX-4 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4

R-AC-1

R-AC-2

null

R-AC-4

R-AM-1

null

R-AM-3

R-BC-1

R-BC-2

R-BC-3

null

R-BC-5

R-EX-1

R-EX-2

null

R-EX-4

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

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

Asset Management

Kiosks & Point of Interaction (PoI) Devices

AST-07

Mechanisms exist to appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - File Integrity Monitoring (FIM) - Lockable casings - Tamper detection tape - Chip & PIN

null

Does the organization appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution?

8

Protect

null

X

There is no evidence of a capability to appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution.

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. • Hardened system configurations are used for unattended systems to enforce the principle of least functionality by removing unnecessary accounts, applications and services. • Periodic physical inspections are performed to validate the integrity of unattended systems (e.g., kiosks, ATMs, etc.) and Point of Sale (POS) devices. • Organizational policies and standards cover Enhanced security requirements for unattended systems (e.g., kiosks, ATMs, etc.) and POS devices.

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. • Hardened system configurations are used for unattended systems to enforce the principle of least functionality by removing unnecessary accounts, applications and services. • Periodic physical inspections are performed to validate the integrity of unattended systems (e.g., kiosks, ATMs, etc.) and Point of Sale (POS) devices. • Organizational policies and standards cover Enhanced security requirements for unattended systems (e.g., kiosks, ATMs, etc.) and POS devices. • Periodic physical and local inspections are performed to validate the integrity of unattended systems (e.g., kiosks, ATMs, etc.), sensitive/regulated systems and Point of Sale (POS) devices. • File Integrity Monitoring (FIM) is deployed on systems and unattended systems that store, process or transmit sensitive/regulated data to monitor the integrity of business-critical files to detect tampering. • Host-based Intrusion Prevention System (HIPS) is deployed on both systems and unattended systems to identify and block hostile activities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution.

null

PHY-01

null

11.2.8

8.1

11.2.8

null

9.9 9.9.1 9.9.2 9.9.3

9.5 9.5.1 9.5.1.1 9.5.1.2

null

9.5.1 9.5.1.1 9.5.1.2

null

9.5.1 9.5.1.1 9.5.1.2

M.3.24

null

3.3.12

null

11.2.8

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-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-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

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

null

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-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

Asset Management

Tamper Detection

AST-08

Mechanisms exist to periodically inspect systems and system components for Indicators of Compromise (IoC).

- "Burner" phones & laptops - Tamper tape

null

Does the organization periodically inspect systems and system components for Indicators of Compromise (IoC)?

9

Detect

null

X

null

There is no evidence of a capability to periodically inspect systems and system components for Indicators of Compromise (IoC).

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. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering of technology assets.

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. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering of equipment

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. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering of equipment

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 periodically inspect systems and system components for Indicators of Compromise (IoC).

null

PHY-01

null

CR 3.11 (7.13) EDR 3.11 (13.6.1) EDR 3.11 (13.6.3(1)) HDR 3.11 (14.6.1) HDR 3.11 (14.6.3(1)) NDR 3.11 (15.8.1) NDR 3.11 (15.8.3(1))

null

11.2.6

7.9

11.2.6

null

9.5.1.2 9.5.1.2.1

null

9.5.1.2

null

9.5.1.2 9.5.1.2.1

9.5.1.2

M.3.4.8.4

null

5.13.1.2.1

null

11.2.6

null

8.5.3.C.01 8.5.3.C.02 8.5.3.C.03 8.5.3.C.04 8.5.4.C.01 8.5.4.C.02 8.5.4.C.03 8.5.5.C.01

null

x

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-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-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

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

null

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-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

Asset Management

Secure Disposal, Destruction or Re-Use of Equipment

AST-09

Mechanisms exist to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components.

- Shred-it - Iron Mountain - sdelete (sysinternals) - Bootnukem

E-AST-03

Does the organization securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components?

10

Identify

null

X

There is no evidence of a capability to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components.

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. • IT personnel collect technology assets and media for destruction when it is no longer needed for business or legal reasons. • IT personnel perform the destruction of technology assets and media in a secure manner or outsource the destruction to a third-party that specializes in technology assets and media destruction, as well as provides evidence of destruction (e.g., certificate of destruction). • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.

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. • IT personnel perform the destruction of technology assets and media in a secure manner or outsource the destruction to a third-party that specializes in technology assets and media destruction, as well as provides evidence of destruction (e.g., certificate of destruction). • Organizational standards exist for users to dispose of, destroy or repurpose system components when it is no longer needed for business or legal reasons. • Third-party providers ensure world-wide coverage to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent such components from entering the gray market. • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components.

CC6.5

CC6.5-POF2 C1.2-POF2 P4.3-POF2 P4.3-POF3

null

3.5

null

DSP-02

POL-04

null

11.2.7

7.14 8.10

11.2.7

null

6.8.2.7 7.4.8

null

GOVERN 1.7

null

M-7

null

SA-19(3)

null

SR-12

null

SR-12

null

SR-12

3.4.14

SR-12

null

SR-12

null

3.7.4.d 3.7.4.d.1 3.7.4.d.2 3.7.4.d.3 3.8.3

null

PR.DS-3

null

9.8 9.8.1 9.8.2

9.4.7

null

9.4.7

null

D.4.3

null

ASSET-2.H.MIL3

null

MP.L1-b.1.vii

null

52.204-21(b)(1)(vii)

null

SR-12

null

314.4(c)(6)(i)

164.310(d)(2)(i) 164.310(d)(2)(ii)

5.S.C

5.M.D

5.M.D 5.L.A 9.L.C

null

10.3 10.4 18.5 19.5

null

5.8

null

45.48.500 45.48.510

null

Sec. 521.052(b)

null

SR-12

null

Art 24

null

AM-04 PI-03

null

15.4 17.21

null

TPC-19 TPC-66

3.3.11

2-14-3-4

2-6-1-3

null

8.5.5 [MP.SI.5]

null

A3.a B3.a

null

0311 0312 0315 0317 0318 0350 0363 1076 1217 1218 1219 1220 1221 1222 1223 1225 1226 1534 1550 1741 1742 0321 1722 1723 1724 1725 1726 1727 1728 1729 1641

null

11.2.7 11.2.7.4.PB

null

11.2.13.C.01 11.2.13.C.02 11.7.35.C.01 12.6.4.C.01 12.6.4.C.02 12.6.5.C.01 12.6.5.C.02 12.6.5.C.03 12.6.5.C.04 12.6.5.C.05 12.6.8.C.01 12.6.9.C.01 12.6.10.C.01 13.4.19.C.02 13.4.10.C.01 13.5.24.C.01 13.5.24.C.02 13.5.24.C.03 13.5.24.C.04 13.5.25.C.01 13.5.26.C.01 13.5.26.C.02 13.5.26.C.03 13.5.29.C.01 13.5.29.C.02 13.5.30.C.01 13.6.6.C.01 13.6.6.C.02 13.6.7.C.01 13.6.8.C.01 13.6.9.C.01 13.6.10.C.01 13.6.10.C.02 13.6.10.C.03 13.6.11.C.01 13.6.12.C.01

null

11.1.7

null

2.2.4

null

x

FAR 52.204-21

x

null

R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4

R-AC-1

R-AC-2

null

R-AC-4

R-AM-1

null

R-AM-3

R-BC-1

R-BC-2

null

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

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-4

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

Asset Management

Return of Assets

AST-10

Mechanisms exist to ensure that employees and third-party users return all organizational assets in their possession upon termination of employment, contract or agreement.

- Termination checklist - Manual Process - Native OS and Device Asset Tracking capabilities

E-AST-01

Does the organization ensure that employees and third-party users return all organizational assets in their possession upon termination of employment, contract or agreement?

8

Protect

null

X

null

There is no evidence of a capability to ensure that employees and third-party users return all organizational assets in their possession up on termination of employment, contract or agreement.

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. • Supervisors for users leaving the company collect assets and return those assets to IT personnel.

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. • Supervisors for users leaving the company should collect assets and return the assets to IT personnel. • Assets not returned are reported as a security incident, based on the data that may exist on the device(s). • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.

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. • Supervisors for users leaving the company should collect assets and return the assets to IT personnel. • Assets not returned by users leaving the organization are reported as a security incident, based on the data that may exist on the device(s). • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.

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 ensure that employees and third-party users return all organizational assets in their possession up on termination of employment, contract or agreement.

null

HRS-05

null

8.1.4

5.11

8.1.4 CLD.8.1.5

null

6.5.1.4

null

A.03.09.02.a.03

null

D.26

null

5.3.3

null

AM-04 AM-05

null

11.12

null

8.1.4 8.1.5.P

null

x

null

R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-3 R-BC-5 R-EX-1 R-EX-2 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4

R-AC-1

R-AC-2

null

R-AC-4

R-AM-1

null

R-AM-3

null

R-BC-5

R-EX-1

R-EX-2

null

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

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

Asset Management

Removal of Assets

AST-11

Mechanisms exist to authorize, control and track technology assets entering and exiting organizational facilities.

- RFID asset tagging - RFID proximity sensors at access points - Asset management software

null

Does the organization authorize, control and track technology assets entering and exiting organizational facilities?

8

Protect

null

X

null

There is no evidence of a capability to authorize, control and track technology assets entering and exiting organizational facilities.

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. • Users are trained and encouraged to stop and question anyone attempting to install or remove IT assets from facilities.

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. • Physical entry points to facilities are monitored or staffed to identify personnel who bring in or remove IT assets into facilities. • Users are trained and encouraged to stop and question anyone attempting to install or remove IT assets from facilities.

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 authorize, control and track technology assets entering and exiting organizational facilities.

null

11.2.5

7.10

11.2.5

null

6.8.2.5

null

PR.DS-3

null

F.11.3

null

5.3.3

null

D1.G.IT.E.3 D1.G.IT.E.2

null

164.310(d)(1) 164.310(d)(2)

5.S.C

5.M.D

5.M.D 5.L.A

null

5.8

null

622(2)(d)(C)(ii)

null

11.2.5

null

x

OR 6464A

null

R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4

R-AC-1

R-AC-2

null

R-AC-4

R-AM-1

null

R-AM-3

R-BC-1

R-BC-2

R-BC-3

null

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

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

Asset Management

Use of Personal Devices

AST-12

Mechanisms exist to restrict the possession and usage of personally-owned technology devices within organization-controlled facilities.

- BYOD policy

null

Does the organization restrict the possession and usage of personally-owned technology devices within organization-controlled facilities?

10

Protect

null

X

null

There is no evidence of a capability to restrict the possession and usage of personally-owned technology devices within organization-controlled facilities.

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. • Organizational policies and standards cover the use of personal devices (e.g., Bring Your Own Device (BYOD), as part of acceptable and unacceptable behaviors.

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. • Organizational policies and standards cover the use of personal devices (e.g., Bring Your Own Device (BYOD), as part of acceptable and unacceptable behaviors. • Mobile Device Management (MDM) software is used to restrict sensitive data from residing on personal devices.

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 restrict the possession and usage of personally-owned technology devices within organization-controlled facilities.

null

7.10 8.1

null

3.1.18.a 3.1.18.b 3.1.18.c

null

M.3.26

null

10.7

null

12.6

null

TPC-84

null

x

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

Asset Management

Use of Third-Party Devices

AST-13

Mechanisms exist to reduce the risk associated with third-party assets that are attached to the network from harming organizational assets or exfiltrating organizational data.

- NAC - Separate SSIDs for wireless networks - SIEM monitoring/alerting - Manual process to disable network all unused ports - Network Access Control (NAC) - Mobile Device Management (MDM) software - Data Loss Prevention (DLP)

null

Does the organization reduce the risk associated with third-party assets that are attached to the network from harming organizational assets or exfiltrating organizational data?

9

Protect

null

X

null

There is no evidence of a capability to reduce the risk associated with third-party assets that are attached to the network from harming organizational assets or exfiltrating organizational data.

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. • Organizational policies and standards cover the use of third-party devices, as part of acceptable and unacceptable behaviors.

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 reduce the risk associated with third-party assets that are attached to the network from harming organizational assets or exfiltrating organizational data.

null

3.1.18.a 3.1.18.b 3.1.18.c

null

N.2.4

null

10.7

null

12.6

null

TPC-84

null

16.2.3.C.01 16.2.3.C.02

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-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Usage Parameters

AST-14

Mechanisms exist to monitor and enforce usage parameters that limit the potential damage caused from the unauthorized or unintentional alteration of system parameters.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)

null

Does the organization monitor and enforce usage parameters that limit the potential damage caused from the unauthorized or unintentional alteration of system parameters?

7

Identify

null

X

null

There is no evidence of a capability to monitor and enforce usage parameters that limit the potential damage caused from the unauthorized or unintentional alteration of system parameters.

SP-CMM1 is N/A, since a structured process is required to monitor and enforce usage parameters that limit the potential damage caused from the unauthorized or unintentional alteration of system parameters.

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.

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

T1114.003, T1613

null

SC-43

null

SC-43

null

SC-43

null

3.1.18.a

null

C.1.8

2.9

null

TM:SG2.SP2 TM:SG4.SP1

null

x

null

R-AC-1 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-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-IR-1 R-IR-2 R-IR-3 R-IR-4

R-AC-1

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

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

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Bluetooth & Wireless Devices

AST-14.1

Mechanisms exist to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.

null

Does the organization prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building?

7

Protect

null

X

There is no evidence of a capability to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.

SP-CMM1 is N/A, since a structured process is required to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.

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. • Organizational policies and standards cover enhanced security requirements for Bluetooth and wireless devices in sensitive/regulated areas.

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. • Organizational policies and standards cover enhanced security requirements for Bluetooth and wireless devices in sensitive/regulated areas. • Periodic physical and local inspections are performed to prevent use of Bluetooth and wireless devices in sensitive/regulated areas or unless used in a Radio Frequency (RF)-screened building.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.

null

SWS-01 SWS-03 SWS-05

null

M.3.3

null

0233

null

11.1.8.C.01 11.1.10.C.01 11.1.10.C.02 11.1.10.C.03 11.1.11.C.01 11.1.11.C.02 11.1.12.C.01 11.1.13.C.01 21.1.16.C.01 21.1.16.C.02

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Infrared Communications

AST-14.2

Mechanisms exist to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.

null

Does the organization prevent line of sight and reflected infrared (IR) communications use in an unsecured space?

5

Protect

null

X

There is no evidence of a capability to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.

SP-CMM1 is N/A, since a structured process is required to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.

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. • Organizational policies and standards cover requirements to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.

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. • Organizational policies and standards cover requirements to prevent line of sight and reflected infrared (IR) communications use in an unsecured space. • Periodic physical and local inspections are performed to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.

null

O.9

null

11.1.9.C.01 11.1.9.C.02 11.1.9.C.03

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Tamper Protection

AST-15

Mechanisms exist to verify logical configuration settings and the physical integrity of critical technology assets throughout their lifecycle.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Tamper detection tape - File Integrity Monitoring (FIM) - NNT Change Tracker (https://www.newnettechnologies.com) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)

null

Does the organization verify logical configuration settings and the physical integrity of critical technology assets throughout their lifecycle?

6

Protect

X

There is no evidence of a capability to verify logical configuration settings and the physical integrity of critical technology assets throughout their lifecycle.

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. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering. • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device.

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. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering. • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device.

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

IOT-05

null

CR 3.11 (7.13) EDR 3.11 (13.6.1) HDR 3.11 (14.6.1)

null

11.2.6

7.9

11.2.6

null

SA-18

null

SR-9 SR-9(1)

null

SR-9 SR-9(1)

null

SR-9 SR-9(1)

null

SR-9

null

SR-9

null

9.5.1

null

9.5.1

null

9.5.1

D.1.1

null

KIM:SG2.SP2 TM:SG4.SP1

null

SR-9 SR-9(1)

null

SR-9 SR-9(1)

null

8-308

null

11.2.6

null

x

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-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1

null

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

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

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 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Inspection of Systems, Components & Devices

AST-15.1

Mechanisms exist to physically and logically inspect critical technology assets to detect evidence of tampering.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Tamper detection tape - File Integrity Monitoring (FIM) - NNT Change Tracker (https://www.newnettechnologies.com) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)

null

Does the organization physically and logically inspect critical technology assets to detect evidence of tampering?

6

Detect

null

X

There is no evidence of a capability to physically and logically inspect critical technology assets to detect evidence of tampering.

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. • IT personnel should provide a list of dos and do nots for using laptops and mobile devices in high threat countries.

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. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering. • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device.

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. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering. • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device.

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

SA-18(2)

null

SR-10

null

SR-10

null

SR-10

null

SR-10

null

SR-10

null

9.1 9.1.1 9.9 9.9.1 9.9.2 9.9.3

9.5.1 9.5.1.2

null

9.5.1 9.5.1.2

null

9.5.1 9.5.1.2

J.6.11

null

SR-10

null

SR-10

null

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-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1

null

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

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

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

Asset Management

Bring Your Own Device (BYOD) Usage

AST-16

Mechanisms exist to implement and govern a Bring Your Own Device (BYOD) program to reduce risk associated with personally-owned devices in the workplace.

- AirWatch - SCCM - Casper - BYOD policy

null

Does the organization implement and govern a Bring Your Own Device (BYOD) program to reduce risk associated with personally-owned devices in the workplace?

10

Identify

null

X

There is no evidence of a capability to implement and govern a Bring Your Own Device (BYOD) program to reduce risk associated with personally-owned devices in the workplace.

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. • Administrative means (e.g., policies and standards) govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.

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. • Administrative means (e.g., policies and standards) govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. • Mobile Device Management (MDM) software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization.

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 implement and govern a Bring Your Own Device (BYOD) program to reduce risk associated with personally-owned devices in the workplace.

null

4.11

null

4.11

null

UEM-14

null

3.1.18.b 3.1.18.c

null

M.3.3.1

null

5.5.6.1 5.5.6.2

null

10.S.A

null

2-5

null

3.3.10

2-6-1 2-6-2

null

8.1.12.C.01 21.1.12.C.01 21.4.7.C.01 21.4.7.C.02 21.4.8.C.01 21.4.8.C.02 21.4.9.C.01 21.4.10.C.01 21.4.10.C.02 21.4.10.C.03 21.4.10.C.04 21.4.10.C.05 21.4.10.C.06 21.4.10.C.07 21.4.10.C.08 21.4.10.C.09 21.4.10.C.10 21.4.10.C.11 21.4.10.C.12 21.4.10.C.13 21.4.10.C.14 21.4.10.C.15 21.4.10.C.16 21.4.11.C.01 21.4.11.C.02 21.4.11.C.03 21.4.11.C.04 21.4.11.C.05 21.4.11.C.06 21.4.11.C.07 21.4.11.C.08 21.4.11.C.09 21.4.11.C.10 21.4.11.C.11 21.4.11.C.12 21.4.11.C.13 21.4.11.C.14 21.4.11.C.15 21.4.11.C.16 21.4.11.C.17 21.4.11.C.18 21.4.11.C.19 21.4.11.C.20 21.4.13.C.01 21.4.13.C.02 21.4.13.C.03 21.4.13.C.04 21.4.13.C.05 21.4.13.C.06 21.4.13.C.07 21.4.13.C.08 21.4.13.C.09 21.4.13.C.10 21.4.13.C.11 21.4.14.C.01 21.4.14.C.02 21.4.14.C.03 21.4.14.C.04

null

11.3.7

null

x

null

R-AC-1 R-AC-4 R-AM-3 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-4 R-SA-1 R-SA-2

R-AC-1

null

R-AC-4

null

R-AM-3

null

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

null

R-IR-4

R-SA-1

R-SA-2

NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Prohibited Equipment & Services

AST-17

Mechanisms exist to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/or equipment that are designated as supply chain threats by a statutory or regulatory body.

null

E-AST-10

Does the organization govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/or equipment that are designated as supply chain threats by a statutory or regulatory body?

9

Protect

null

X

There is no evidence of a capability to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.

SP-CMM1 is N/A, since a structured process is required to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.

SP-CMM2 is N/A, since a well-defined process is required to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.

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. • An IT infrastructure team, or similar function, enforces sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body (e.g., removes prohibited assets and/ or services).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.

null

UEM-14

null

L.4.5

null

252.204-7018(b)

null

52.204-27(b)

889(a)(1)(A) 889(a)(1)(B)

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

- updated DFARS mapping

Asset Management

Roots of Trust Protection

AST-18

Mechanisms exist to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.

null

Does the organization provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification?

4

Protect

null

X

There is no evidence of a capability to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.

SP-CMM1 is N/A, since a structured process is required to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.

SP-CMM2 is N/A, since a well-defined process is required to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.

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. • A Supply Chain Risk Management (SCRM) program oversees supply chain risks, including “roots of trust” protections to ensure the chain of custody is intact to help ensure the likelihood of tampering or substitution is minimized.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.

null

EDR 3.13 (13.8.1(a)) HDR 3.12 (14.7.1) HDR 3.13 (14.8.1(a)) HDR 3.13 (14.8.1(b)) NDR 3.12 (15.9.1) NDR 3.13 (15.10.1(a))

null

3.14.1e

null

M.3

null

TBD - 3.14.1e

null

SI.L3-3.14.1e

null

Principle 4 Principle 7

null

R-AC-1 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-BC-5 R-EX-7 R-GV-1 R-GV-2 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-AC-1

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

R-BC-5

null

R-EX-7

R-GV-1

R-GV-2

null

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

null

NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Telecommunications Equipment

AST-19

Mechanisms exist to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.

null

Does the organization establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping?

9

Protect

null

X

There is no evidence of a capability to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.

SP-CMM1 is N/A, since a structured process is required to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.

null

F.9.2

null

TPC-13 TPC-14 TPC-15 TPC-16 TPC-17

null

0558

null

11.3.5.C.01 11.3.6.C.01 11.3.6.C.02 11.3.7.C.01 11.3.8.C.01 11.3.9.C.01 11.3.9.C.02 11.3.10.C.01 11.3.11.C.01 11.3.12.C.01 11.3.12.C.02 11.3.12.C.03 11.3.13.C.01 11.3.13.C.02 11.3.13.C.03

null

R-AC-1 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-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

null

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

null

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Video Teleconference (VTC) Security

AST-20

Mechanisms exist to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.

null

Does the organization implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping?

8

Protect

null

X

There is no evidence of a capability to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.

SP-CMM1 is N/A, since a structured process is required to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.

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. • Administrative processes exist and technologies are configured to unplug or prohibit the remote activation of collaborative computing devices, except for networked whiteboards, Video Teleconference Cameras (VTC) and teleconference microphones.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.

null

M.1.1

null

0548 0554 0553 0555 0551 1014

null

Article 26

null

18.3.14.C.01 18.3.14.C.02

null

R-AC-1 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-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

null

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

null

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Voice Over Internet Protocol (VoIP) Security

AST-21

Mechanisms exist to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.

null

Does the organization implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks?

8

Protect

null

X

There is no evidence of a capability to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.

SP-CMM1 is N/A, since a structured process is required to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.

null

L.10.8

null

1014 0549 0556

null

18.3.8.C.01 18.3.9.C.01 18.3.9.C.02 18.3.10.C.01 18.3.11.C.01 18.3.11.C.02 18.3.12.C.01 18.3.12.C.02 18.3.13.C.01 18.3.13.C.02 18.3.13.C.03 18.3.14.C.01 18.3.14.C.02 18.3.15.C.01 18.3.15.C.02 18.3.16.C.01 18.3.16.C.02 18.3.16.C.03 18.3.17.C.01

null

R-AC-1 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-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

null

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

null

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Microphones & Web Cameras

AST-22

Mechanisms exist to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive/regulated information is discussed.

null

Does the organization configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive/regulated information is discussed?

8

Protect

null

X

There is no evidence of a capability to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive information is discussed.

SP-CMM1 is N/A, since a structured process is required to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive information is discussed.

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. • Administrative processes exist and technologies are configured to unplug or prohibit the remote activation of collaborative computing devices, except for networked whiteboards, Video Teleconference Cameras (VTC) and teleconference microphones.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive information is discussed.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive information is discussed.

null

N.8

null

0559 1450

null

R-AC-1 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-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

null

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

null

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Multi-Function Devices (MFD)

AST-23

Mechanisms exist to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.

null

E-TPM-01

Does the organization securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device?

8

Protect

null

X

There is no evidence of a capability to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.

SP-CMM1 is N/A, since a structured process is required to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.

null

M.3.1

null

3.3.5

null

0590 0245 0589 1036

null

11.2.3.C.01 11.2.4.C.01 11.2.4.C.02 11.2.5.C.01 11.2.6.C.01 11.2.7.C.01 11.2.7.C.02 11.2.8.C.01 11.2.9.C.01 11.2.10.C.01 11.2.11.C.01 11.2.11.C.02 11.2.11.C.03 11.2.11.C.04 11.2.11.C.05 11.2.12.C.01 11.2.12.C.02 11.2.13.C.01 11.2.13.C.02

null

11.5.1

null

R-AC-1 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-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

null

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

null

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Travel-Only Devices

AST-24

Mechanisms exist to issue personnel travelling overseas with temporary, loaner or "travel-only" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

null

Does the organization issue personnel travelling overseas with temporary, loaner or "travel-only" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies?

8

Protect

null

X

There is no evidence of a capability to issue personnel travelling overseas with temporary, loaner or "travel-only" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

SP-CMM1 is N/A, since a structured process is required to issue personnel travelling overseas with temporary, loaner or "travel-only" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

SP-CMM2 is N/A, since a well-defined process is required to issue personnel travelling overseas with temporary, loaner or "travel-only" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

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. • Organizational policies and standards cover requirements for users to secure laptops while traveling. • Organizational policies and standards cover the use of travel-only devices. • Security awareness training covers recommended practices for securing laptops and mobile devices while traveling. • ITAM reviews and documents provisioning and issuing fully-encrypted loaner devices for users traveling to any country listed as a Level 2, 3 or 4 on the US State Department's travel advisory site (https://travel.state.gov). • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device. • Cybersecurity personnel provide a list of dos and don’ts for using laptops and mobile devices in high threat countries. • Loaner devices are equipped with tamper-resistant tape to aid in detecting tampering.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to issue personnel travelling overseas with temporary, loaner or "travel-only" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to issue personnel travelling overseas with temporary, loaner or "travel-only" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

null

3.4.12.a 3.4.12.b

null

A.03.04.12.a

null

M.3

null

1298 1554 1555 1299 1088 1300 1556

null

R-AC-1 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-4 R-GV-6 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

null

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

null

R-GV-4

null

R-GV-6

null

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-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 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

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Re-Imaging Devices After Travel

AST-25

Mechanisms exist to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

null

Does the organization re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies?

8

Protect

null

X

There is no evidence of a capability to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

SP-CMM1 is N/A, since a structured process is required to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

SP-CMM2 is N/A, since a well-defined process is required to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

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. • ITAM reimages the devices prior to re-issue.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.

null

3.4.12.b

null

A.03.04.12.b

null

M.3.4.8.4

null

1300 1556

null

R-AC-1 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-4 R-GV-6 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

null

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

null

R-GV-4

null

R-GV-6

null

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-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

Asset Management

System Administrative Processes

AST-26

Mechanisms exist to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.

null

Does the organization develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services?

9

Identify

null

X

null

There is no evidence of a capability to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.

SP-CMM1 is N/A, since a structured process is required to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.

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. • A Governance, Risk & Compliance (GRC) function, or similar function, enables the documentation of Standardized Operating Procedures (SOP), or similar mechanisms, at the business process-level to identify and document day-to-day procedures enabling the proper execution of assigned tasks.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.

null

G.2.6

null

0042 1380 1381

null

3.4.10.C.01 3.4.10.C.02 5.1.11.C.01 5.1.13.C.01 5.5.3.C.01 5.5.4.C.01 5.5.5.C.01 5.5.6.C.01 18.6.10.C.01

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-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

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

Asset Management

Jump Server

AST-27

Mechanisms exist to conduct remote system administrative functions via a "jump box" or "jump server" that is located in a separate network zone to user workstations.

null

Does the organization conduct remote system administrative functions via a "jump box" or "jump server" that is located in a separate network zone to user workstations?

7

Protect

null

X

There is no evidence of a capability to conduct remote system administrative functions via a "jump box" or "jump server" that is located in a separate network zone to user workstations.

SP-CMM1 is N/A, since a structured process is required to conduct remote system administrative functions via a "jump box" or "jump server" that is located in a separate network zone to user workstations.

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. • Sensitive/regulated data environments are configured to require jump boxes to meet contractual obligations and prevent unauthorized access.

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. • Remote users are configured to use jump boxes as part of a Zero Trust Architecture (ZTA). • Server environments are configured to require jump boxes for remote maintenance purposes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct remote system administrative functions via a "jump box" or "jump server" that is located in a separate network zone to user workstations.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct remote system administrative functions via a "jump box" or "jump server" that is located in a separate network zone to user workstations.

null

3.1.12.a 3.1.12.c

null

N.5.2

null

2-3-1-4

TPC-41

null

Principle 5.9

Principle 5.11

null

1385 1387 1388

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-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

Asset Management

Database Administrative Processes

AST-28

Mechanisms exist to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.

null

Does the organization develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases?

9

Identify

null

X

null

There is no evidence of a capability to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.

SP-CMM1 is N/A, since a structured process is required to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.

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. • Database administrators implement and maintain Database Management Systems (DBMSs), where applicable.

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. • Database administrators implement and maintain Database Management Systems (DBMSs), where applicable.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.

null

G.3.6

6.3

null

2-2-1-8

null

1269 1277 1270 1271 1272 1273 1243 1256 0393 1255 1268 1274 1275 1276 1278

null

3.4.10.C.01 3.4.10.C.02 5.1.11.C.01 5.1.13.C.01 5.5.3.C.01 5.5.4.C.01 5.5.5.C.01 5.5.6.C.01 20.4.3.C.01 20.4.3.C.02 20.4.3.C.03 20.4.3.C.04 20.4.4.C.01 20.4.4.C.02 20.4.5.C.01 20.4.5.C.02 20.4.6.C.01 20.4.6.C.02

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-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

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

Asset Management

Database Management System (DBMS)

AST-28.1

Mechanisms exist to implement and maintain Database Management Systems (DBMSs), where applicable.

null

Does the organization implement and maintain Database Management Systems (DBMSs), where applicable?

6

Protect

null

X

There is no evidence of a capability to implement and maintain Database Management Systems (DBMSs), where applicable.

SP-CMM1 is N/A, since a structured process is required to implement and maintain Database Management Systems (DBMSs), where applicable.

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. • Database administrators implement and maintain Database Management Systems (DBMSs), where applicable.

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. • Database administrators implement and maintain Database Management Systems (DBMSs), where applicable.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and maintain Database Management Systems (DBMSs), where applicable.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and maintain Database Management Systems (DBMSs), where applicable.

null

D.1.3

6.3

null

1245 1246 1247 1249 1250 1251 1260 1261 1262 1263 1264

null

20.4.3.C.01 20.4.3.C.02 20.4.3.C.03 20.4.3.C.04 20.4.4.C.01 20.4.4.C.02 20.4.5.C.01 20.4.5.C.02 20.4.6.C.01 20.4.6.C.02

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-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

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

Asset Management

Radio Frequency Identification (RFID) Security

AST-29

Mechanisms exist to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

null

Does the organization securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces?

3

Protect

null

X

There is no evidence of a capability to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

SP-CMM1 is N/A, since a structured process is required to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

null

P.7.5

null

11.6.59.C.01 11.6.59.C.02 11.6.60.C.01 11.6.60.C.02 11.6.60.C.03 11.6.60.C.04 11.6.61.C.01 11.6.61.C.02 11.6.62.C.01 11.6.62.C.02 11.6.62.C.03 11.6.63.C.01 11.6.63.C.02 11.6.64.C.01 11.6.65.C.01 11.6.65.C.02 11.6.65.C.03 11.6.66.C.01 11.6.67.C.01 11.6.67.C.02 11.6.68.C.01 11.6.69.C.01 11.6.70.C.01 11.6.71.C.01 11.6.72.C.01 11.6.72.C.02 11.6.72.C.03

null

R-AC-1 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-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

null

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

null

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Contactless Access Control Systems

AST-29.1

Mechanisms exist to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

null

Does the organization securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces?

3

Protect

null

X

There is no evidence of a capability to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

SP-CMM1 is N/A, since a structured process is required to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.

null

P.7.5

null

11.7.29.C.01 11.7.29.C.02 11.7.30.C.01 11.7.30.C.02 11.7.30.C.03 11.7.31.C.01 11.7.31.C.02 11.7.32.C.01 11.7.32.C.02 11.7.32.C.03 11.7.32.C.04 11.7.33.C.01 11.7.33.C.02 11.7.33.C.03 11.7.34.C.01

null

R-AC-1 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-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

null

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

null

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-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

null

MT-5

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Asset Management

Decommissioning

AST-30

Mechanisms exist to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.

null

Does the organization ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations?

4

Protect

null

X

There is no evidence of a capability to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.

SP-CMM1 is N/A, since a structured process is required to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.

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 decommissioning consists of mainly wiping hard drives.

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 decommissioning is formalized to ensure that systems, applications and services are properly decommissioned and data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual requirements.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.

null

GOVERN 1.7

null

D.13

null

2-6-1-3

null

8.1.5.P

null

2.3.30.C.01 13.1.9.C.01 13.1.10.C.01 13.1.10.C.02 13.1.10.C.03 13.1.10.C.04 13.1.11.C.01 13.1.12.C.01 13.1.12.C.02 13.1.12.C.03 13.1.13.C.01 13.1.13.C.02 13.1.13.C.03 13.1.13.C.04 13.1.14.C.01

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-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

Asset Management

Asset Categorization

AST-31

Mechanisms exist to categorize technology assets.

null

E-AST-24

Does the organization categorize technology assets?

9

Identify

X

There is no evidence of a capability to categorize technology assets.

SP-CMM1 is N/A, since a structured process is required to categorize technology assets.

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. • Data/process owners categorize data in accordance with organizational policies and standards.

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. • Data/process owners categorize data in accordance with organizational policies and standards. • A data classification process exists to identify categories of data and specific protection requirements. • Administrative processes and technologies identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to categorize technology assets.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to categorize technology assets.

null

RQ-15-06

null

MAP 2.0

null

A3.a

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-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

Asset Management

Categorize Artificial Intelligence (AI)-Related Technologies

AST-31.1

Mechanisms exist to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).

null

E-AST-24

Does the organization categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT)?

9

Identify

X

There is no evidence of a capability to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).

SP-CMM1 is N/A, since a structured process is required to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).

SP-CMM2 is N/A, since a well-defined process is required to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).

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. • A data classification process exists to identify categories of data and specific protection requirements. • Administrative processes and technologies identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).

null

MAP 2.0

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-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

MT-7

MT-8

MT-9

MT-10

null

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Business Continuity Management System (BCMS)

BCD-01

Mechanisms exist to facilitate the implementation of contingency planning controls to help ensure resilient assets and services (e.g., Continuity of Operations Plan (COOP) or Business Continuity & Disaster Recovery (BC/DR) playbooks).

- Business Continuity Plan (BCP) - Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP) - Business Impact Analysis (BIA) - Criticality assessments

E-BCM-01

Does the organization facilitate the implementation of contingency planning controls to help ensure resilient assets and services (e.g., Continuity of Operations Plan (COOP) or Business Continuity & Disaster Recovery (BC/DR) playbooks)?

10

Recover

X

There is no evidence of a capability to facilitate the implementation of contingency planning controls to help ensure resilient assets and services.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • IT/cybersecurity personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Within the BCPs, alternate communications channels have been defined and alternative decision-makers are designated if primary decision-makers are unavailable. • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 security function objectives to determine prioritization of and authoritative guidance for Business Continuity & Disaster Recovery (BC/DR) 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 continuity of operations may be incorporated as part of a broader operational plan for the cybersecurity & data privacy program. • A Governance, Risk & Compliance (GRC) team, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls 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 BC/DR and establishes a clear and authoritative accountability structure for BC/DR operations. • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • Within the BCPs, alternate communications channels have been defined and alternative decision-makers are designated if primary decision-makers are unavailable. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 contingency planning controls to help ensure resilient assets and services.

CC7.5 CC9.1

CC7.4-POF5 CC7.5-POF1 CC7.5-POF2 CC7.5-POF4 CC7.5-POF5 CC9.1-POF1 CC9.1-POF2 A1.2-POF1 A1.2-POF2 A1.2-POF3 A1.2-POF4 A1.2-POF5 A1.2-POF6

null

11.0 11.1

11.1

DSS04.01 DSS04.02 DSS04.03 DSS04.04 DSS04.05 DSS04.06 DSS04.07 DSS04.08

null

BCR-01 BCR-03 BCR-04 BCR-05 BCR-07 BCR-09

GVN-03

SO19 SO20

null

4.3 4.3.1 4.3.2 4.4 5.1 5.2 5.2.1 6.1 6.1.1 6.1.2 6.2 6.2.1 6.2.2 7.4 7.5.1 8.3 8.3.1 8.3.2 8.3.3 8.3.4 8.3.5 10.1 10.1.1 10.1.2 10.1.3 10.2

null

17.1.1 17.1.2

5.29 5.30

17.1.1 17.1.2

null

6.14.1.2

null

T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1561, T1561.001, T1561.002

OR-1.2 OR-3.4 TS-1.5

Sec 4(D)(2)(b) Sec 4(D)(2)(i)

GOVERN 6.2

PR.PO-P7

null

CP-1 CP-2 IR-4(3) PM-8 CP-10

CP-1 CP-2 CP-10

CP-1 CP-2 IR-4(3) PM-8 CP-10

null

CP-1 CP-2 CP-10

IR-4(3) PM-8

null

CP-1 CP-2 CP-10

null

CP-1 CP-2 PM-8

CP-1 CP-2

null

CP-1 PM-8

CP-1 CP-2

null

ID.BE-5 PR.IP-9 RC.RP-1

GV.OC-04 GV.OC-05 ID.IM-04 PR.IR-04 RC.RP-01 RC.RP-02 RC.RP-03 RC.RP-04 RC.RP-05 RC.RP-06 RC.CO-03 RC.CO-04

null

K.4

null

3.1.2

null

RESPONSE-4.A.MIL1 RESPONSE-4.D.MIL2 RESPONSE-4.H.MIL2 RESPONSE-4.M.MIL3

EC:SG4.SP5 EF:SG2.SP1 RRM:SG1.SP3 RRM:SG1.SP4 SC:SG1.SP1 SC:SG2.SP1 SC:SG3.SP2 SC:SG3.SP3 SC:SG3.SP4 SC:SG7.SP2

null

CP-1 CP-2 PM-8 CP-10

null

CP-1 CP-2 IR-4(3)

CP-1 CP-2

CP-1 CP-2 IR-4(3)

CP-1 CP-2

null

D5.IR.Pl.B.6

null

164.308(a)(7)(ii)(B) 164.308(a)(7)(ii)(C) 164.310(b)

null

CP-1 CP-2 CP-10

null

8-104 8-603 8-614

6.1

null

CP-1 CP-2

null

38-99-20(D)(2)(b) 38-99-20(D)(2)(i)

null

CP-1 CP-2 CP-10

null

3.7(77) 3.7.1(78) 3.7.1(79) 3.7.2(80) 3.7.2(81) 3.7.2(82) 3.7.3(83) 3.7.3(84)(a) 3.7.3(84)(b) 3.7.3(84)(c) 3.7.3(85) 3.7.3(86)

Art 11.1 Art 11.2 Art 11.2(a) Art 11.2(b) Art 11.2(c) Art 11.2(d) Art 11.2(e) Art 11.3 Art 11.4 Art 11.5 Art 11.6(a) Art 11.6(b) Art 11.7 Art 11.8 Art 11.9 Art 11.10 Art 11.11 Art 12.1 Art 12.1(a) Art 12.1(b)

null

Art 32.1 Art 32.2

Article 21.2(c)

null

Sec 14 Sec 15

Art 16

null

10.1 10.2 10.3 10.5

BCM-01 BCM-02 BCM-03

null

11.7 25.1

null

2-8 3-1 3-1-1-1 3-1-1-2

TPC-67 TPC-68 TPC-69

null

2-4-4 2-9-1 2-9-2 2-9-3 2-9-3-1 2-9-4 3-1-1 3-1-2 3-1-3 3-1-3-1 3-1-3-2 3-1-3-3 3-1-4

3-1 3-1-1 3-1-1-1 3-1-1-2 3-1-1-3 3-1-1-4 3-1-1-5 3-1-1-6 3-1-2

null

Sec 19.1 Sec 19.2

null

7.5.1 [OP.CONT.1] 7.5.2 [OP.CONT.2]

null

B5.a B5.b

D1

null

0734

null

12(b) 14 34(a) 34(b) 34(c) 34(d) 34(e) 40(a) 40(b) 40(c) 40(d) 40(e) 41

null

17.1.1 17.1.2

null

13.1

6.4.5.C.01 6.4.7.C.01 6.4.8.C.01 23.4.12.C.01 23.4.12.C.02

null

8.1.1 8.1.2 8.1.3 8.1.4 8.2.1 8.2.2 8.2.3 8.2.4 8.5.1 8.5.2 8.5.2(a) 8.5.2(b) 8.5.2(c)

null

6.14 7.1

null

2.9

2.9 2.9.1 2.9.2

null

x

NAIC

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Coordinate with Related Plans

BCD-01.1

Mechanisms exist to coordinate contingency plan development with internal and external elements responsible for related plans.

- Cybersecurity Incident Response Plan (IIRP)

null

Does the organization coordinate contingency plan development with internal and external elements responsible for related plans?

5

Recover

null

X

There is no evidence of a capability to coordinate contingency plan development with internal and external elements responsible for related plans.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 contingency plan development with internal and external elements responsible for related plans.

null

BCR-06

null

5.29 5.30

null

TS-1.5

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

GV.SC-08

null

K.1.47

null

SC:SG4.SP2

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

CP-2(1)

null

25.2

null

3-1-3-2

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Coordinate With External Service Providers

BCD-01.2

Mechanisms exist to coordinate internal contingency plans with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

- Business Continuity Plan (BCP) - Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP)

null

Does the organization coordinate internal contingency plans with the contingency plans of external service providers to ensure that contingency requirements can be satisfied?

5

Recover

null

X

There is no evidence of a capability to coordinate internal contingency plans with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 internal contingency plans with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

null

BCR-06

OPA-05

null

5.29 5.30

null

CP-2(7)

null

CP-2(7)

null

CP-2(7)

null

CP-2(7)

null

CP-2(7)

null

CP-2(7)

null

GV.OC-05 GV.SC-08

null

K.1.1

null

SC:SG4.SP2

null

3-1-3-2

null

2.9

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Transfer to Alternate Processing / Storage Site

BCD-01.3

Mechanisms exist to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.

null

Does the organization redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan?

5

Recover

null

X

null

There is no evidence of a capability to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.

SP-CMM1 is N/A, since a structured process is required to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.

SP-CMM2 is N/A, since a well-defined process is required to redeploy personnel toother roles during a disruptive event or in the execution of a continuity plan.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Human Resources (HR), Legal and Procurement departments implement and manage a formal process that enables business-critical personnel to be both redeployed to other roles during a disruptive event, but also appropriately supports the employee(s) throughout the role transition and back into the their original role when the disruptive event is over. • BC/DR function formally assigns business-critical roles that require redundancies and/ or cross training.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.

null

CP-2(6)

null

CP-2(6)

null

CP-2(6)

null

K.1.7.1

null

2.B.6

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Recovery Time / Point Objectives (RTO / RPO)

BCD-01.4

Mechanisms exist to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

null

E-BCM-02 E-BCM-03

Does the organization facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs)?

5

Recover

null

X

null

There is no evidence of a capability to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

SP-CMM1 is N/A, since a structured process is required to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

SP-CMM2 is N/A, since a well-defined process is required to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Recovery Time Objectives (RTOs) identify business-critical systems and services that are given priority of service in alternate processing and storage sites. • Technologies exist to conduct transaction-level recovery, in accordance with Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 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 recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

null

OR-3.4

null

CP-6(2) CP-10

CP-10

CP-6(2) CP-10

null

CP-10

CP-6(2) CP-10

null

CP-10

CP-6(2) CP-10

null

GV.OC-04

null

K.1.1

null

RESPONSE-4.G.MIL2

null

CP-6(2)

null

CP-6(2)

null

CP-6(2)

null

CP-6(2)

null

Art 12.6

null

OPS-06 OPS-08 OPS-09

null

2-9-3-2

null

B5.b

null

1810

null

38(a) 38(b) 38(c) 39

null

8.1.4 8.2.1

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Identify Critical Assets

BCD-02

Mechanisms exist to identify and document the critical systems, applications and services that support essential missions and business functions.

- Business Impact Analysis (BIA) - Criticality assessments

E-BCM-08

Does the organization identify and document the critical systems, applications and services that support essential missions and business functions?

9

Recover

null

X

There is no evidence of a capability to identify and document the critical systems, applications and services that support essential missions and business functions.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 document the critical systems, applications and services that support essential missions and business functions.

CC7.5

null

SET-01

SO20

null

OR-1.2

null

ID.BE-P3

null

P-8

null

CP-2(8)

null

CP-2(8)

null

CP-2(8)

null

CP-2(8)

null

CP-2(8)

null

CP-2(8)

null

ID.AM-5 ID.BE-5

GV.OC-04

null

K.8.1

null

ASSET-1.C.MIL2 ASSET-2.C.MIL2 RESPONSE-4.E.MIL2

EC:SG1.SP1 EC:SG4.SP5 SC:SG7.SP1

null

CP-2(8)

null

CP-2(8)

null

CP-2(8)

null

CP-2(8)

null

CP-2(8)

null

164.308(a)(7)(ii)(E)

null

CP-2(8)

null

CIP-002-5.1a R1 & R2

null

CP-2(8)

null

CP-2(8)

null

3.7.1(78) 3.7.3(83)

Art 8.4

null

12.2

BCM-02

null

2-8-1-1 3-1-1-2

TPC-24

null

2-9-3-2

2-1-1-5

null

B5.b

A4

null

34(a) 35 36(a) 36(b) 36(c) 36(d) 37

21(b)

null

8.1.2

null

2.9.2 3.2.3

null

x

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Resume All Missions & Business Functions

BCD-02.1

Mechanisms exist to resume all missions and business functions within Recovery Time Objectives (RTOs) of the contingency plan's activation.

- Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP) - Disaster recovery software

null

Does the organization resume all missions and business functions within Recovery Time Objectives (RTOs) of the contingency plan's activation?

8

Recover

null

X

null

There is no evidence of a capability to resume all missions and business functions within Recovery Time Objectives (RTOs) of the contingency plan's activation.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 resume all missions and business functions within Recovery Time Objectives (RTOs) of the contingency plan's activation.

CC7.5

null

BCR-03

null

OR-1.2

null

CP-2(4)

null

CP-2(4)

CP-2(3)

null

CP-2(3)

null

CP-2(3)

null

GV.OC-05

null

K.1.1

null

RESPONSE-4.E.MIL2 RESPONSE-4.F.MIL2

SC:SG6.SP1

null

CP-2(4)

null

CP-2(4)

null

CP-2(3)

null

21.15 21.16

null

2-9-3-2

null

B5.b

null

34(e)

null

2.9

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Continue Essential Mission & Business Functions

BCD-02.2

Mechanisms exist to continue essential missions and business functions with little or no loss of operational continuity and sustain that continuity until full system restoration at primary processing and/or storage sites.

- Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP)

null

Does the organization continue essential missions and business functions with little or no loss of operational continuity and sustain that continuity until full system restoration at primary processing and/or storage sites?

8

Recover

null

X

null

There is no evidence of a capability to continue essential missions and business functions with little or no loss of operational continuity and sustain that continuity until full system restoration at primary processing and/ or storage sites.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 continue essential missions and business functions with little or no loss of operational continuity and sustain that continuity until full system restoration at primary processing and/ or storage sites.

CC7.5

null

BCR-03

OPA-05

null

OR-1.2

null

CP-2(5)

null

CP-2(5)

null

CP-2(5)

null

CP-2(5)

null

GV.OC-05 RC.RP-04

null

K.4

null

RESPONSE-4.E.MIL2 RESPONSE-4.F.MIL2

SC:SG6.SP1

null

CP-2(5)

null

CP-2(5)

null

CP-2(5)

null

CP-2(5)

null

18.15 25.23

null

2-9-3-2

null

B5.b

null

34(e)

null

2.9

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Resume Essential Missions & Business Functions

BCD-02.3

Mechanisms exist to resume essential missions and business functions within an organization-defined time period of contingency plan activation.

- Business Continuity Plan (BCP) - Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP)

null

Does the organization resume essential missions and business functions within an organization-defined time period of contingency plan activation?

8

Recover

null

X

null

There is no evidence of a capability to resume essential missions and business functions within an organization-defined time period of contingency plan activation.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 resume essential missions and business functions within an organization-defined time period of contingency plan activation.

CC7.5

null

BCR-03

null

OR-1.2

null

CP-2(3)

null

CP-2(3)

null

CP-2(3)

null

CP-2(3)

null

GV.OC-05 RC.RP-04

null

K.2.1

null

RESPONSE-4.E.MIL2 RESPONSE-4.F.MIL2

SC:SG6.SP1

null

CP-2(3)

null

CP-2(3)

null

CP-2(3)

null

CP-2(3)

null

CP-2(3)

null

CIP-009-6 R1

null

CP-2(3)

null

CP-2(3)

null

21.15 21.16

null

2-9-3-2

null

B5.b

null

34(e)

null

2.9

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Data Storage Location Reviews

BCD-02.4

Mechanisms exist to perform periodic security reviews of storage locations that contain sensitive / regulated data.

null

E-AST-23

Does the organization perform periodic security reviews of storage locations that contain sensitive / regulated data?

8

Recover

null

X

null

There is no evidence of a capability to perform periodic security reviews of storage locations that contain sensitive / regulated data.

SP-CMM1 is N/A, since a structured process is required to perform periodic security reviews of storage locations that contain sensitive / regulated data.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • on at least an annual basis, BC/DR personnel conduct security reviews of storage locations containing sensitive/regulated data.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • on at least an annual basis, BC/DR personnel conduct security reviews of storage locations to ensure that sensitive/regulated data is both physically and logically protected.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform periodic security reviews of storage locations that contain sensitive / regulated data.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform periodic security reviews of storage locations that contain sensitive / regulated data.

null

9.4.1.2

null

9.4.1.2

null

F.1

null

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-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

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

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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-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

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Contingency Training

BCD-03

Mechanisms exist to adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities.

- NIST NICE Framework - Tabletop exercises

E-BCM-07

Does the organization adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities?

5

Recover

null

X

There is no evidence of a capability to adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities.

SP-CMM1 is N/A, since a structured process is required to adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • BC/DR function formally assigns business-critical roles that require redundancies and/ or cross training.

Business Continuity & Disaster Recovery (BCD) 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 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 adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities.

null

DSS04.06

null

BCR-06

null

CP-3

null

CP-3

null

CP-3

null

CP-3

null

CP-3

null

PR.IP-10

null

E.1.14.3

null

SC:SG3.SP5 SC:SG5.SP3

null

CP-3

null

CP-3

null

CP-3

null

8-615

null

CP-3

null

CP-3

null

25.3

null

x

null

x

R-AM-3 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-IR-3 R-SA-1 R-SA-2

null

R-AM-3

null

R-EX-2

null

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-3

null

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

Business Continuity & Disaster Recovery

Simulated Events

BCD-03.1

Mechanisms exist to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

- Tabletop exercises

E-BCM-06

Does the organization incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations?

3

Recover

null

X

There is no evidence of a capability to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

SP-CMM1 is N/A, since a structured process is required to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

SP-CMM2 is N/A, since a well-defined process is required to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • BC/DR personnel conduct simulated incidents to validate the viability BC/DR plans, in conjunction with stakeholders.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

A1.3

null

BCR-06

null

CP-3(1)

null

CP-3(1)

null

CP-3(1)

null

CP-3(1)

null

CP-3(1)

null

CP-3(1)

null

K.2.9

null

RESPONSE-4.N.MIL3

SC:SG4.SP1

null

CP-3(1)

null

CP-3(1)

null

CP-3(1)

null

CP-3(1)

null

164.308(a)(7)(ii)(D)

null

25.4 25.5

null

3-1-1-4

null

3-1-1-6

null

2.8

null

x

R-AM-3 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-IR-3 R-SA-1 R-SA-2

null

R-AM-3

null

R-EX-2

null

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-3

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Automated Training Environments

BCD-03.2

Automated mechanisms exist to provide a more thorough and realistic contingency training environment.

null

Does the organization use automated mechanisms to provide a more thorough and realistic contingency training environment?

1

Recover

null

X

There is no evidence of a capability to provide a more thorough and realistic contingency training environment.

SP-CMM1 is N/A, since a structured process is required to provide a more thorough and realistic contingency training environment.

SP-CMM2 is N/A, since a well-defined process is required to provide a more thorough and realistic contingency training environment.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Automated mechanisms are used to conduct simulated incidents to validate the viability disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide a more thorough and realistic contingency training environment.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide a more thorough and realistic contingency training environment.

null

CP-3(2)

null

CP-3(2)

null

CP-3(2)

null

K.2.1

null

25.8

null

x

R-AM-3 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1 R-SA-2

null

R-AM-3

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-3

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Business Continuity & Disaster Recovery

Contingency Plan Testing & Exercises

BCD-04

Mechanisms exist to conduct tests and/or exercises to evaluate the contingency plan's effectiveness and the organization’s readiness to execute the plan.

- Simulated disasters / emergencies

E-BCM-06 E-BCM-07

Does the organization conduct tests and/or exercises to evaluate the contingency plan's effectiveness and the organization’s readiness to execute the plan?

6

Recover

null

X

There is no evidence of a capability to conduct tests and/ or exercises to evaluate the contingency plan's effectiveness and the organization’s readiness to execute the plan.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • on at least an annual basis, IT/cybersecurity personnel conduct tabletop exercises to validate disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • on at least an annual basis, BC/DR personnel conduct real-world exercises to validate the viability of disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.

Business Continuity & Disaster Recovery (BCD) 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 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 conduct tests and/ or exercises to evaluate the contingency plan's effectiveness and the organization’s readiness to execute the plan.

CC7.5 A1.3

CC7.5-POF6 A1.3-POF1 A1.3-POF2

null

DSS04.04

null

BCR-06 BCR-10

null

SO22

null

8.5 8.6

null

17.1.3

5.29 5.30

17.1.3

null

6.14.1.3

null

PR.PO-P8

null

CP-4

null

CP-4

null

CP-4

null

CP-4

null

CP-4

null

K.9.3

null

RESPONSE-4.I.MIL2 RESPONSE-4.N.MIL3

COMM:SG3.SP2 SC:SG4.SP1 SC:SG5.SP1 SC:SG5.SP2 SC:SG5.SP3 SC:SG5.SP4

null

CP-4

null

CP-4

null

164.308(a)(7)(ii)(D)

null

CP-4

null

CIP-009-6 R2

8-615

null

CP-4

null

CP-4

null

3.7.4(87) 3.7.4(89) 3.7.4(89)(a) 3.7.4(89)(b) 3.7.4(89)(c) 3.7.4(90)

Art 11.4 Art 11.6(a) Art 11.6(b) Art 24.1 Art 24.2 Art 24.3 Art 24.4 Art 24.5 Art 24.6

null

10.4

PS-02 PS-06 BCM-04

null

25.4 25.6 25.7 25.9 25.23

null

TPC-70

null

3-1-1-6

null

7.5.3 [OP.CONT.3]

null

43 44 45 46

null

17.1.3

null

8.2.3 8.3.1 8.3.2 8.3.3(a) 8.3.3(b) 8.3.4

null

2.8

2.9.3

null

x

null

x

R-AM-3 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1 R-SA-2

null

R-AM-3

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-3

null

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

Business Continuity & Disaster Recovery

Coordinated Testing with Related Plans

BCD-04.1

Mechanisms exist to coordinate contingency plan testing with internal and external elements responsible for related plans.

- Playbooks - Enterprise-wide Continuity of Operations Plan (COOP)

null

Does the organization coordinate contingency plan testing with internal and external elements responsible for related plans?

3

Recover

null

X

null

There is no evidence of a capability to coordinate contingency plan testing with internal and external elements responsible for related plans.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 contingency plan testing with internal and external elements responsible for related plans.

null

SO22

null

8.5 8.6

null

PR.PO-P8

null

CP-4(1)

null

CP-4(1)

null

CP-4(1)

null

CP-4(1)

null

K.9.2

null

RESPONSE-4.N.MIL3

null

CP-4(1)

null

CP-4(1)

null

CP-4(1)

null

CP-4(1)

null

CP-4(1)

null

CP-4(1)

null

CP-4(1)

null

CP-4(1)

null

25.6 25.7

null

8.3.4

null

2.8

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Alternate Storage & Processing Sites

BCD-04.2

Mechanisms exist to test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations.

null

Does the organization test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations?

5

Recover

null

X

null

There is no evidence of a capability to test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations.

SP-CMM1 is N/A, since a structured process is required to test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • on at least an annual basis, IT/cybersecurity personnel conduct tabletop exercises to validate disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • on at least an annual basis, BC/DR personnel conduct real-world exercises to validate the viability of disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.

Business Continuity & Disaster Recovery (BCD) 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 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 test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations.

null

CP-4(2)

null

CP-4(2)

null

CP-4(2)

null

CP-4(2)

null

K.9.6

null

CP-4(2)

null

CP-4(2)

null

CP-4(2)

null

CP-4(2)

null

3-1-1-1

null

B5.b

null

8.2.4

null

x

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-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

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

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Contingency Plan Root Cause Analysis (RCA) & Lessons Learned

BCD-05

Mechanisms exist to conduct a Root Cause Analysis (RCA) and "lessons learned" activity every time the contingency plan is activated.

- Standardized Operating Procedures (SOP) - Disaster Recovery Plan (DRP) - Business Continuity Plan (BCP) - Continuity of Operations Plan (COOP)

E-BCM-04

Does the organization conduct a Root Cause Analysis (RCA) and "lessons learned" activity every time the contingency plan is activated?

9

Detect

null

X

There is no evidence of a capability to conduct a Root Cause Analysis (RCA) and "lessons learned" activity every time the contingency plan is activated.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • Informal Root Cause Analysis (RCA) are performed to address insufficiencies in existing processes to prevent reoccurrences.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • A formal Root Cause Analysis (RCA) is performed that documents the findings in a report for both technical and business leadership management.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • A formal Root Cause Analysis (RCA) is performed to document the findings in a report for both technical and business leadership management. • Findings from RCA are submitted to a risk register, or similar tracking mechanism and assigned owners for remediation.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct a Root Cause Analysis (RCA) and "lessons learned" activity every time the contingency plan is activated.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct a Root Cause Analysis (RCA) and "lessons learned" activity every time the contingency plan is activated.

CC7.5

CC7.4-POF10 CC7.5-POF3

null

DSS04.08

null

SO20 SO22

null

CP-4

null

CP-4

null

CP-4

null

CP-4

null

CP-4

null

RC.IM-1

ID.IM-03

null

J.2.6

null

RESPONSE-4.O.MIL3

COMM:SG3.SP2 SC:SG5.SP2 SC:SG5.SP3 SC:SG5.SP4 SC:SG6.SP2

null

CP-4

null

CP-4

null

D5.IR.Pl.Int.4

null

CP-4

null

8-615

null

CP-4

null

3.7.4(88) 3.7.4(90)

Art 13.2 Art 13.2(a) Art 13.2(b) Art 13.2(c) Art 13.2(d) Art 13.3

null

BCM-04

null

D2.a

D2

null

7.8.1 7.8.2 7.8.3

null

5.9

null

x

null

x

R-AM-3 R-BC-1 R-BC-3 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-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

R-AM-3

R-BC-1

null

R-BC-3

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

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Contingency Planning & Updates

BCD-06

Mechanisms exist to keep contingency plans current with business needs, technology changes and feedback from contingency plan testing activities.

- Offline / offsite documentation

E-BCM-05

Does the organization keep contingency plans current with business needs, technology changes and feedback from contingency plan testing activities?

8

Recover

null

X

There is no evidence of a capability to keep contingency plans current with business needs, technology changes and feedback from contingency plan testing activities.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • IT personnel work with business stakeholders to identify alternative or compensating controls to address control deficiencies, if the primary means of implementing the security function is unavailable or compromised.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • on at least an annual basis, or after any major technology or process change, the data/process owner updates the data mapping documentation.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • on at least an annual basis, or after any major technology or process change, the data/process owner updates the data mapping documentation.

Business Continuity & Disaster Recovery (BCD) 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 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 keep contingency plans current with business needs, technology changes and feedback from contingency plan testing activities.

CC7.5

CC7.5-POF4 CC7.5-POF5

null

DSS04.05

null

BCR-05

null

SO19 SO20

null

6.3 7.5 7.5.1 7.5.3 7.5.3.1 7.5.3.2 8.4 8.4.1 8.4.2 8.4.2.1 8.4.2.2 8.4.4 8.4.4.1 8.4.4.2 8.4.4.3 8.4.5 8.6 10.1 10.1.1 10.1.2 10.1.3 10.2

null

CP-2

null

CP-2

null

CP-2

null

CP-2

null

CP-2

null

RC.IM-2

null

K.1.3

null

RESPONSE-4.P.MIL3

SC:SG2.SP1 SC:SG3.SP2 SC:SG3.SP3 SC:SG7.SP2

null

CP-2

null

CP-2

null

D5.IR.Pl.Int.4 D5.IR.Te.Int.5

null

CP-2

null

CIP-009-6 R3

8-614

null

CP-2

null

3.7.4(88) 3.7.4(90)

null

BCM-04

null

3-1-4

null

x

null

x

R-AM-3 R-BC-1 R-BC-3 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-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

R-AM-3

R-BC-1

null

R-BC-3

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

null

R-GV-4

R-GV-5

null

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Alternative Security Measures

BCD-07

Mechanisms exist to implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised.

- Business Impact Analysis (BIA) - Criticality assessments

null

Does the organization implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised?

9

Protect

null

X

There is no evidence of a capability to implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • IT personnel work with business stakeholders to identify alternative or compensating controls to address control deficiencies, if the primary means of implementing the security function is unavailable or compromised.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised.

CC9.1

null

CP-13

null

CP-13

null

CP-13

null

K.3.3

null

EC:SG2.SP2 SC:SG1.SP1

null

8-605 8-607 8-610

null

1518

null

x

R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-2 R-IR-3

null

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-5

null

R-EX-5

R-EX-6

R-EX-7

null

R-GV-2

null

R-IR-3

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

Business Continuity & Disaster Recovery

Alternate Storage Site

BCD-08

Mechanisms exist to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information.

- SunGard - AWS - Azure

null

Does the organization establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information?

9

Protect

null

X

There is no evidence of a capability to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information.

SP-CMM1 is N/A, since a structured process is required to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • the organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).Roles and responsibilities are formally assigned to restore the primary site in the event of a catastrophe, emergency, or similar-type disruptive incident in accordance with the Continuity of Operations (COOP) plan. • IT personnel backup copies of business-critical software, licenses/keys and other security-related information to the alternate site. • IT personnel configure business-critical systems to be able to failover to an alternate location than the primary system which can be activated without loss of information or disruption to operations. • A dedicated alternate site is identified, documented, equipped to match the processing capabilities of the primary site and not used for existing production activities . • IT personnel maintain network connectivity for data communications from the alternate site toother business critical locations in order to support business processes. • IT personnel maintain redundant network connectivity from the alternate site to the business locations providing the ability for data communications to support business processes. • IT personnel maintain technologies compatible with existing network and infrastructure configuration. the organization either owns the facility or contracts with a third-party provider for off-site storage.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • IT personnel configure business-critical systems to transfer backup data to an alternate site at a rate that is capable of meeting RTOs and RPOs. • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance). • IT personnel backup copies of business-critical software, licenses/keys and other security-related information to the alternate site. • IT personnel configure business-critical systems to be able to failover to an alternate location than the primary system which can be activated without loss of information or disruption to operations. • Data centers have alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. • Dedicated alternate storage and/ or processing sites are identified and documented. • IT personnel maintain network connectivity from the alternate site to the business locations providing the ability for data communications to support business processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information.

A1.2

A1.2-POF9

null

17.2.1

8.14

17.2.1

null

6.14.1.3 6.14.2 6.14.2.1

null

T1070, T1070.001, T1070.002, T1119, T1486, T1565, T1565.001

null

CP-6

null

CP-6

CP-6 PE-23

null

CP-6

PE-23

null

CP-6

null

CP-6

null

CP-6

null

K.3.3

null

EC:SG4.SP1

null

CP-6

null

CP-6

null

CP-6

null

CP-6

null

CP-6

null

164.310(a)(2)(i)

null

2.B.7 2.B.7.1 2.B.7.2 2.B.7.3

null

8-603

null

CP-6

null

CP-6

null

CP-6

null

10.5

PSS-12

null

11.7 25.7 25.10

null

3-1-1-1

null

8.1.8 [MP.IF.8] 8.3.4 [MP.EQ.4] 8.4.4 [MP.COM.4] 8.8.4 [MP.S.4]

null

B5.b

null

17.2.1

null

x

null

x

R-AM-1 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-GV-1 R-IR-4

null

R-AM-1

null

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

null

R-GV-1

null

R-IR-4

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

Business Continuity & Disaster Recovery

Separation from Primary Site

BCD-08.1

Mechanisms exist to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.

- SunGard - AWS - Azure

null

Does the organization separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats?

7

Protect

null

X

There is no evidence of a capability to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.

SP-CMM1 is N/A, since a structured process is required to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.

A1.2

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

K.8.2

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

CP-6(1)

null

OPS-09

null

25.11

null

B5.b

null

x

R-AM-3 R-BC-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-GV-1

null

R-AM-3

R-BC-1

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

null

R-GV-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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Accessibility

BCD-08.2

Mechanisms exist to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.

- SunGard - AWS - Azure

null

Does the organization identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster?

5

Protect

null

X

null

There is no evidence of a capability to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.

SP-CMM1 is N/A, since a structured process is required to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.

A1.2

null

CP-6(3)

null

CP-6(3)

null

CP-6(3)

null

CP-6(3)

null

K.8.1

null

CP-6(3)

null

CP-6(3)

null

CP-6(3)

null

CP-6(3)

null

CP-6(3)

null

CP-6(3)

null

CP-6(3)

null

25.13

null

x

R-AC-4 R-AM-3 R-BC-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-GV-1

null

R-AC-4

null

R-AM-3

R-BC-1

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

null

R-GV-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

Business Continuity & Disaster Recovery

Alternate Processing Site

BCD-09

Mechanisms exist to establish an alternate processing site that provides security measures equivalent to that of the primary site.

- SunGard - AWS - Azure

null

Does the organization establish an alternate processing site that provides security measures equivalent to that of the primary site?

9

Protect

null

X

There is no evidence of a capability to establish an alternate processing site that provides security measures equivalent to that of the primary site.

SP-CMM1 is N/A, since a structured process is required to establish an alternate processing site that provides security measures equivalent to that of the primary site.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • the organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).Roles and responsibilities are formally assigned to restore the primary site in the event of a catastrophe, emergency, or similar-type disruptive incident in accordance with the Continuity of Operations (COOP) plan. • IT personnel backup copies of business-critical software, licenses/keys and other security-related information to the alternate site. • IT personnel configure business-critical systems to be able to failover to an alternate location than the primary system which can be activated without loss of information or disruption to operations. • A dedicated alternate site is identified, documented, equipped to match the processing capabilities of the primary site and not used for existing production activities . • IT personnel maintain network connectivity for data communications from the alternate site toother business critical locations in order to support business processes. • IT personnel maintain redundant network connectivity from the alternate site to the business locations providing the ability for data communications to support business processes. • IT personnel maintain technologies compatible with existing network and infrastructure configuration. the organization either owns the facility or contracts with a third-party provider for off-site storage.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • IT personnel configure business-critical systems to transfer backup data to an alternate site at a rate that is capable of meeting RTOs and RPOs. • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance). • IT personnel backup copies of business-critical software, licenses/keys and other security-related information to the alternate site. • IT personnel configure business-critical systems to be able to failover to an alternate location than the primary system which can be activated without loss of information or disruption to operations. • Data centers have alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. • Dedicated alternate storage and/ or processing sites are identified and documented. • IT personnel maintain network connectivity from the alternate site to the business locations providing the ability for data communications to support business processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish an alternate processing site that provides security measures equivalent to that of the primary site.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish an alternate processing site that provides security measures equivalent to that of the primary site.

A1.2

A1.2-POF10

null

17.2.1

8.14

17.2.1

null

6.14 6.14.1 6.14.1.1

null

T1070, T1070.001, T1070.002, T1119, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1561, T1561.001, T1561.002, T1565, T1565.001

null

CP-7

null

CP-7

CP-7 PE-23

null

CP-7

PE-23

null

CP-7

null

CP-7

null

CP-7

null

K.1.4

null

EC:SG4.SP1

null

CP-7

null

CP-7

null

CP-7

null

CP-7

null

CP-7

null

164.310(a)(2)(i)

null

2.B.7 2.B.7.1 2.B.7.2 2.B.7.3

null

8-603

null

CP-7

null

CP-7

null

Art 12.5 Art 12.5(a) Art 12.5(b) Art 12.5(c)

null

10.5

PSS-12

null

11.7 25.7 25.10

null

3-1-1-1

null

8.1.8 [MP.IF.8] 8.3.4 [MP.EQ.4] 8.8.4 [MP.S.4]

null

B5.b

null

17.2.1

null

x

null

x

R-AM-1 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-GV-1 R-IR-4

null

R-AM-1

null

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

null

R-GV-1

null

R-IR-4

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

Business Continuity & Disaster Recovery

Separation from Primary Site

BCD-09.1

Mechanisms exist to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.

- SunGard - AWS - Azure

null

Does the organization separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats?

7

Protect

null

X

null

There is no evidence of a capability to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.

SP-CMM1 is N/A, since a structured process is required to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.

A1.2

null

CP-7(1)

null

CP-7(1)

null

CP-7(1)

null

CP-7(1)

null

K.8.2

null

CP-7(1)

null

CP-7(1)

null

CP-7(1)

null

CP-7(1)

null

CP-7(1)

null

CP-7(1)

null

CP-7(1)

null

Art 12.5(a)

null

OPS-09

null

25.11

null

B5.b

null

x

R-AM-3 R-BC-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-GV-1

null

R-AM-3

R-BC-1

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

null

R-GV-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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Accessibility

BCD-09.2

Mechanisms exist to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.

- Business Continuity Plan (BCP) - Continuity of Operations Plan (COOP)

null

Does the organization identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster?

5

Recover

null

X

null

There is no evidence of a capability to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.

SP-CMM1 is N/A, since a structured process is required to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.

A1.2

null

CP-7(2)

null

CP-7(2)

null

CP-7(2)

null

CP-7(2)

null

K.14.2.1

null

CP-7(2)

null

CP-7(2)

null

CP-7(2)

null

CP-7(2)

null

CP-7(2)

null

164.310(a)(2)(i)

null

CP-7(2)

null

CP-7(2)

null

Art 12.5(c)

null

25.13

null

x

R-AC-4 R-AM-3 R-BC-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-GV-1

null

R-AC-4

null

R-AM-3

R-BC-1

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

null

R-GV-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

Business Continuity & Disaster Recovery

Alternate Site Priority of Service

BCD-09.3

Mechanisms exist to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs).

- Hot / warm / cold site contracts

E-TPM-04

Does the organization address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs)?

6

Recover

null

X

null

There is no evidence of a capability to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs).

SP-CMM1 is N/A, since a structured process is required to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs).

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs).

A1.2

null

CP-7(3)

null

CP-7(3)

null

CP-7(3)

null

CP-7(3)

null

K.1.49

null

CP-7(3)

null

CP-7(3)

null

CP-7(3)

null

CP-7(3)

null

CP-7(3)

null

CP-7(3)

null

CP-7(3)

null

25.12 21.14

null

x

R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1

null

R-AM-3

R-BC-1

null

R-BC-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

null

R-GV-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

Business Continuity & Disaster Recovery

Preparation for Use

BCD-09.4

Mechanisms exist to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.

null

Does the organization prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site?

5

Protect

null

X

null

There is no evidence of a capability to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.

SP-CMM1 is N/A, since a structured process is required to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.

null

CP-7(4)

null

CP-7(4)

null

CP-7(4)

null

CP-7(4)

null

K.9.6

null

CP-7(4)

null

CP-7(4)

null

CP-7(4)

null

CP-7(4)

null

x

R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1

null

R-AM-3

R-BC-1

null

R-BC-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

null

R-GV-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

Business Continuity & Disaster Recovery

Inability to Return to Primary Site

BCD-09.5

Mechanisms exist to plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site.

null

Does the organization plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site?

5

Protect

X

null

There is no evidence of a capability to plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • BC/DR personnel and business stakeholders designate alternative decision-makers if primary decision-makers are unavailable.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Human Resources (HR), Legal and Procurement departments implement and manage a formal process that enables business-critical personnel to be both redeployed to other roles during a disruptive event, but also appropriately supports the employee(s) throughout the role transition and back into the their original role when the disruptive event is over. • BC/DR function formally assigns business-critical roles that require redundancies and/ or cross training. • BC/DR personnel and business stakeholders designate alternative decision-makers if primary decision-makers are unavailable.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site.

null

CP-7(6)

null

CP-7(6)

null

CP-7(6)

null

K.1.17

null

x

R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1

null

R-AM-3

R-BC-1

null

R-BC-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

null

R-GV-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

Business Continuity & Disaster Recovery

Telecommunications Services Availability

BCD-10

Mechanisms exist to reduce the likelihood of a single point of failure with primary telecommunications services.

- Alternate telecommunications services are maintained with multiple ISP / network providers

null

Does the organization reduce the likelihood of a single point of failure with primary telecommunications services?

6

Recover

null

X

There is no evidence of a capability to reduce the likelihood of a single point of failure with primary telecommunications services.

SP-CMM1 is N/A, since a structured process is required to reduce the likelihood of a single point of failure with primary telecommunications services.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Data centers contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to reduce the likelihood of a single point of failure with primary telecommunications services.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to reduce the likelihood of a single point of failure with primary telecommunications services.

A1.2

null

CP-8 CP-8(2) CP-11

null

CP-8 CP-8(2)

CP-8 CP-8(2) CP-11

null

CP-8 CP-8(2)

CP-11

null

CP-8 CP-8(2)

null

CP-8 CP-11

null

CP-8 CP-11

null

K.3.2

null

EC:SG4.SP4

null

CP-8 CP-8(2)

null

CP-8 CP-8(2)

null

CP-8 CP-8(2)

null

CP-8 CP-8(2)

null

CP-8 CP-8(2)

null

8-601 8-603 8-615

null

CP-8

CP-8 CP-8(2)

null

CP-11

null

CP-8 CP-8(2)

null

3.7.5(91)

null

21.14 25.16

null

B5.b

null

x

R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1

null

R-AM-3

R-BC-1

null

R-BC-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

null

R-GV-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

Business Continuity & Disaster Recovery

Telecommunications Priority of Service Provisions

BCD-10.1

Mechanisms exist to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs).

- Hot / warm / cold site contracts

E-TPM-04

Does the organization formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs)?

6

Recover

null

X

null

There is no evidence of a capability to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs).

SP-CMM1 is N/A, since a structured process is required to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Data centers contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs).

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs).

A1.2

null

CP-8(1)

null

CP-8(1)

null

CP-8(1)

null

CP-8(1)

null

K.1.54

null

CP-8(1)

null

CP-8(1)

null

CP-8(1)

null

CP-8(1)

null

CP-8(1)

null

CP-8(1)

null

CP-8(1)

null

21.14 25.17

null

R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1

null

R-AM-3

R-BC-1

null

R-BC-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

null

R-GV-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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Separation of Primary / Alternate Providers

BCD-10.2

Mechanisms exist to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

null

Does the organization obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats?

5

Protect

null

X

There is no evidence of a capability to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

SP-CMM1 is N/A, since a structured process is required to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

null

CP-8(3)

null

CP-8(3)

null

CP-8(3)

null

CP-8(3)

null

CP-8(3)

null

CP-8(3)

null

K.2.6

null

CP-8(3)

null

CP-8(3)

null

CP-8(3)

null

CP-8(3)

null

R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1

null

R-AM-3

R-BC-1

null

R-BC-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

null

R-GV-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

Business Continuity & Disaster Recovery

Provider Contingency Plan

BCD-10.3

Mechanisms exist to contractually-require external service providers to have contingency plans that meet organizational contingency requirements.

null

Does the organization contractually-require external service providers to have contingency plans that meet organizational contingency requirements?

5

Protect

null

X

There is no evidence of a capability to contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.

SP-CMM1 is N/A, since a structured process is required to contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Data centers contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.

null

BCR-03

null

CP-8(4)

null

CP-8(4)

null

CP-8(4)

null

CP-8(4)

null

CP-8(4)

null

CP-8(4)

null

K.2.3

null

CP-8(4)

null

CP-8(4)

null

CP-8(4)

null

CP-8(4)

null

3.7.3(86)

null

x

R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1

null

R-AM-3

R-BC-1

null

R-BC-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

null

R-GV-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

- spelling correction "contingency"

Business Continuity & Disaster Recovery

Alternate Communications Paths

BCD-10.4

Mechanisms exist to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.

null

Does the organization maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable?

5

Protect

X

There is no evidence of a capability to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.

SP-CMM1 is N/A, since a structured process is required to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.

null

SC-47

null

SC-47

null

SC-47

null

SC-47

null

SC-47

null

K.4

null

3.7.5(91)

null

R-AM-3 R-BC-1 R-EX-1 R-GV-1 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

null

R-AM-3

R-BC-1

null

R-EX-1

null

R-GV-1

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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-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

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

- Added NIST 800-53 R5 mapping for SC-47

Business Continuity & Disaster Recovery

Data Backups

BCD-11

Mechanisms exist to create recurring backups of data, software and/or system images, as well as verify the integrity of these backups, to ensure the availability of the data to satisfying Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

- Backup technologies & procedures - Offline storage

E-BCM-10 E-BCM-11 E-BCM-12 E-BCM-13

Does the organization create recurring backups of data, software and/or system images, as well as verify the integrity of these backups, to ensure the availability of the data to satisfying Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs)?

10

Protect

X

There is no evidence of a capability to create recurring backups of data, software and/ or system images, as well as verify the integrity of these backups, to ensure the availability of the data to satisfying Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to create backups to support business needs (e.g., Recovery Time Objectives). • Backups of sensitive/regulated data are cryptographically protected to prevent the unauthorized disclosure and modification of backup information.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Technologies exist to conduct full, incremental or differential backups (e.g., tape/disk, hybrid cloud or direct-to-cloud). • IT personnel use technology to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code). • Backups for sensitive/regulated data are cryptographically protected (encrypted and integrity checked) to prevent the unauthorized disclosure and modification of backup information.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Technologies exist to conduct full, incremental or differential backups (e.g., tape/disk, hybrid cloud or direct-to-cloud). • IT personnel use technology to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code). • Logical and physical access controls restricts access to backups from privileged users to prevent unauthorized restore of sensitive data. • A random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data. • Backups for sensitive/regulated data are cryptographically protected (encrypted and integrity checked) to prevent the unauthorized disclosure and modification of backup information.

Business Continuity & Disaster Recovery (BCD) 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 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 create recurring backups of data, software and/ or system images, as well as verify the integrity of these backups, to ensure the availability of the data to satisfying Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

CC7.5 A1.2

A1.2-POF7 A1.2-POF8

null

11.2

APO14.10 DSS04.07

null

BCR-08

null

CR 7.3 (11.5.1)

null

12.3.1

8.13

12.3.1

null

6.9.3 6.9.3.1

null

T1003, T1003.003, T1005, T1025, T1070, T1070.001, T1070.002, T1119, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1561, T1561.001, T1561.002, T1565, T1565.001, T1565.003

null

PR.PO-P3

null

CP-9 SC-28(2)

CP-9

CP-9 SC-28(2)

null

CP-9

SC-28(2)

null

CP-9

null

3.8.9

null

3.14.5e

null

PR.IP-4

PR.DS-11

null

9.4.1.1 9.4.1.2

9.4.1.1

9.4.1.1 9.4.1.2

9.4.1.1

K.1

null

RESPONSE-4.B.MIL1 RESPONSE-4.J.MIL2

KIM:SG6.SP1

7.3

null

MP.L2-3.8.9

MP.L2-3.8.9 TBD - 3.14.5e

null

MP.L2-3.8.9

CP-9

null

CP-9

null

164.308(a)(7)(ii)(A) 164.310(d)(2)(iv)

null

4.M.D

2.B.5 CP-9

null

8-603 8-612

null

6.10

null

CP-9

null

CP-9

null

3.5(57)

Art 12.1 Art 12.1(a) Art 12.1(b) Art 12.2

null

8.7

OPS-06

null

25.9

null

2-8-1-2 2-8-1-3

TPC-64

null

2-9-3

2-8 2-8-1 2-8-1-1 2-8-1-2 2-8-1-3 2-8-1-4 2-8-2

null

8.7.7 [MP.INFO.7]

null

B5.c

null

Principle 8.1 Principle 8.2 Principle 8.3

null

1547 1548 1511 1810 1811

null

12.3.1

null

6.4.6.C.01

null

8.4.1 8.4.2

null

6.14

null

x

Lockton

null

x

R-AM-3 R-BC-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-GV-1

null

R-AM-3

R-BC-1

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

null

R-GV-1

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

Business Continuity & Disaster Recovery

Testing for Reliability & Integrity

BCD-11.1

Mechanisms exist to routinely test backups that verify the reliability of the backup process, as well as the integrity and availability of the data.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)

null

Does the organization routinely test backups that verify the reliability of the backup process, as well as the integrity and availability of the data?

9

Recover

X

There is no evidence of a capability to routinely test backups that verify the reliability of the backup process, as well as the integrity and availability of the data.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • A random sampling of backups is tested at least annually to verify integrity and recoverability of backed up data. • Backup media for sensitive/regulated data is encrypted and integrity checked.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • IT personnel perform a random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • A random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.

Business Continuity & Disaster Recovery (BCD) 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 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 routinely test backups that verify the reliability of the backup process, as well as the integrity and availability of the data.

CC7.5 A1.2

A1.3-POF2

null

11.3 11.5

11.3

11.3 11.5

null

BCR-06 BCR-08

null

SO22

null

CR 7.3 (11.5.3(1))

null

12.3.1

8.13

12.3.1

null

PR.DS-P6

null

CP-9(1)

null

CP-9(1)

null

CP-9(1)

null

CP-9(1)

null

PR.IP-4

null

K.1.16

null

RESPONSE-4.B.MIL1 RESPONSE-4.J.MIL2

null

CP-9(1)

null

CP-9(1)

null

CP-9(1)

null

CP-9(1)

null

CP-9(1)

null

CP-9(1)

null

CP-9(1)

null

Art 12.2 Art 12.7

null

OPS-06 OPS-07 OPS-08

null

25.9 25.19

null

2-8-2

null

2-9-3-3

null

B5.c

null

Principle 8.4

null

1515

null

12.3.1

null

8.4.3

null

x

Lockton

null

x

R-AM-3 R-BC-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-GV-1

null

R-AM-3

R-BC-1

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

null

R-GV-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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Separate Storage for Critical Information

BCD-11.2

Mechanisms exist to store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up.

- IronMountain

E-AST-08 E-BCM-11 E-BCM-12 E-BCM-13

Does the organization store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up?

8

Protect

null

X

There is no evidence of a capability to store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • Backup copies of software or licenses/product keys are stored locally in a fire-rated container.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up.

A1.2

A1.2-POF9

null

12.3.1

8.13

12.3.1

null

CP-9(3)

null

CP-9(3)

null

CP-9(3)

null

CP-9(3)

null

9.4.1.1

K.4

null

RESPONSE-4.K.MIL2

null

CP-9(3)

null

CP-9(3)

null

CP-9(3)

null

CP-9(3)

null

CP-9(3)

null

CP-9(3)

null

CP-9(3)

null

3.5(58)

Art 12.3

null

OPS-06 PSS-12

null

25.20

null

TPC-38

null

2-8-1-4

null

1811

null

12.3.1

null

x

null

x

R-AM-3 R-BC-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-GV-1

null

R-AM-3

R-BC-1

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

null

R-GV-1

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

Business Continuity & Disaster Recovery

Information System Imaging

BCD-11.3

Mechanisms exist to reimage assets from configuration-controlled and integrity-protected images that represent a secure, operational state.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Acronis - Docker (https://www.docker.com/) - VMWare

null

Does the organization reimage assets from configuration-controlled and integrity-protected images that represent a secure, operational state?

8

Recover

null

X

There is no evidence of a capability to reimage assets from configuration-controlled and integrity-protected images that represent a secure, operational state.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • IT personnel have a limited capability to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code).Limited technologies exist to conduct full, incremental or differential backups (e.g., tape/disk, hybrid cloud or direct-to-cloud).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • IT personnel use technology to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • IT personnel use technology to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code).

Business Continuity & Disaster Recovery (BCD) 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 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 reimage assets from configuration-controlled and integrity-protected images that represent a secure, operational state.

A1.2

null

V.1.5

null

OPS-09

null

25.12 25.22

null

x

null

R-AM-3 R-BC-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-GV-1 R-IR-1 R-IR-4

null

R-AM-3

R-BC-1

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

null

R-GV-1

null

R-IR-1

null

R-IR-4

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Cryptographic Protection

BCD-11.4

Cryptographic mechanisms exist to prevent the unauthorized disclosure and/or modification of backup information.

- Backup technologies & procedures

null

Are cryptographic mechanisms utilized to prevent the unauthorized disclosure and/or modification of backup information?

9

Protect

null

X

There is no evidence of a capability to Cryptographic prevent the unauthorized disclosure and/ or modification of backup information.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Backups for sensitive/regulated data are cryptographically protected (encrypted and integrity checked) to prevent the unauthorized disclosure and modification of backup information.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Backups for sensitive/regulated data are cryptographically protected (encrypted and integrity checked) to prevent the unauthorized disclosure and modification of backup information.

Business Continuity & Disaster Recovery (BCD) 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 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 Cryptographic prevent the unauthorized disclosure and/ or modification of backup information.

A1.2

null

11.3

null

12.3.1

8.13

12.3.1

null

CP-9(8) SC-28(1)

null

CP-9(8)

null

CP-9(8)

null

3.8.9

A.03.08.09

null

D.1.6

null

MP.L2-3.8.9

null

MP.L2-3.8.9

null

CP-9(8)

null

CP-9(8)

null

2.B.5 CP-9(8)

null

25.18

null

2-8-1-3

TPC-65

null

2-8-1-4

null

Principle 8.3

null

12.3.1

null

8.4.4

null

x

null

x

R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-2 R-GV-4 R-GV-5 R-IR-4

null

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

null

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Test Restoration Using Sampling

BCD-11.5

Mechanisms exist to utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing.

null

Does the organization utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing?

5

Protect

null

X

null

There is no evidence of a capability to utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • A random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • A random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.

Business Continuity & Disaster Recovery (BCD) 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 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 utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing.

null

BCR-06 BCR-08

null

CP-9(2)

null

CP-9(2)

null

CP-9(2)

null

CP-9(2)

null

PR.IP-10

null

K.1.38

null

CP-9(2)

null

CP-9(2)

null

CP-9(2)

null

CP-9(2)

null

Art 12.2 Art 12.7

null

3-1-1-3

null

Lockton

null

x

R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-2 R-GV-4 R-GV-5 R-IR-4

null

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

null

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Transfer to Alternate Storage Site

BCD-11.6

Mechanisms exist to transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

null

Does the organization transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs)?

5

Protect

null

X

There is no evidence of a capability to transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

SP-CMM1 is N/A, since a structured process is required to transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • The organization either owns the facility or contracts with a third-party provider for off-site storage.

Business Continuity & Disaster Recovery (BCD) 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 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 transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

null

A1.2-POF9

null

CP-9(5)

null

CP-9(5)

null

CP-9(5)

null

CP-9(5)

null

K.1.54

null

CP-9(5)

null

CP-9(5)

null

CP-9(5)

null

CP-9(5)

null

Art 12.3

null

2-8-1-4

null

B5.c

null

x

R-AM-3 R-BC-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-GV-1

null

R-AM-3

R-BC-1

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

null

R-GV-1

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

Business Continuity & Disaster Recovery

Redundant Secondary System

BCD-11.7

Mechanisms exist to maintain a failover system, which is not collocated with the primary system, application and/or service, which can be activated with little-to-no loss of information or disruption to operations.

null

Does the organization maintain a failover system, which is not collocated with the primary system, application and/or service, which can be activated with little-to-no loss of information or disruption to operations?

5

Protect

X

There is no evidence of a capability to maintain a failover system, which is not collocated with the primary system, application and/ or service, which can be activated with little-to-no loss of information or disruption to operations.

SP-CMM1 is N/A, since a structured process is required to maintain a failover system, which is not collocated with the primary system, application and/ or service, which can be activated with little-to-no loss of information or disruption to operations.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Technologies exist to support business-critical application and services failover. • Technologies exist to support network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Technologies exist to support business-critical application and services failover. • Technologies exist to support network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain a failover system, which is not collocated with the primary system, application and/ or service, which can be activated with little-to-no loss of information or disruption to operations.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain a failover system, which is not collocated with the primary system, application and/ or service, which can be activated with little-to-no loss of information or disruption to operations.

null

BCR-03 BCR-11

null

17.2.1

8.14

17.2.1

null

CP-9(6)

null

CP-9(6)

null

CP-9(6)

null

K.1.43

null

Art 12.4

null

PS-02

null

3-1-1-2

null

B5.b

null

17.2.1

null

x

R-AM-3 R-BC-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-GV-1

null

R-AM-3

R-BC-1

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

null

R-GV-1

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

- wordsmithed control

Business Continuity & Disaster Recovery

Dual Authorization For Backup Media Destruction

BCD-11.8

Mechanisms exist to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.

null

Does the organization implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data?

5

Protect

null

X

null

There is no evidence of a capability to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.

SP-CMM1 is N/A, since a structured process is required to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.

SP-CMM2 is N/A, since a well-defined process is required to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Logical and physical access controls restricts access to backups from privileged users to prevent unauthorized restore of sensitive data. • IT personnel implement and enforce dual authorization for the deletion or destruction of sensitive/regulated backup media and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.

null

CR 2.1 (6.3.3(4))

null

CP-9(7)

null

CP-9(7)

null

CP-9(7)

null

3.1.1e

null

D.3.8.1

null

TBD - 3.1.1e

null

x

R-AC-1 R-AC-2 R-AM-1 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-GV-2 R-GV-3 R-GV-6 R-GV-7 R-IR-1

R-AC-1

R-AC-2

null

R-AM-1

null

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

null

R-GV-2

R-GV-3

null

R-GV-6

R-GV-7

null

R-IR-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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Backup Access

BCD-11.9

Mechanisms exist to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

null

Does the organization restrict access to backups to privileged users with assigned roles for data backup and recovery operations?

9

Protect

null

X

There is no evidence of a capability to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

SP-CMM1 is N/A, since a structured process is required to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

SP-CMM2 is N/A, since a well-defined process is required to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Logical and physical access controls restricts access to backups from privileged users to prevent unauthorized restore of sensitive data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

null

TPC-50

null

B5.c

null

Principle 8.5

null

1812 1813

null

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-6 R-GV-7 R-GV-8

null

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

null

R-GV-6

R-GV-7

R-GV-8

null

MT-12 MT-13 MT-14 MT-15

null

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Backup Modification and/or Destruction

BCD-11.10

Mechanisms exist to restrict access to modify and/or delete backups to privileged users with assigned data backup and recovery operations roles.

null

Does the organization restrict access to modify and/or delete backups to privileged users with assigned data backup and recovery operations roles?

9

Protect

null

X

There is no evidence of a capability to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.

SP-CMM1 is N/A, since a structured process is required to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.

SP-CMM2 is N/A, since a well-defined process is required to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Logical and physical access controls restricts access to backups from privileged users to prevent unauthorized restore of sensitive data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.

null

Principle 8.6

Principle 8.6 Principle 8.7 Principle 8.8

null

1814

null

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-6 R-GV-7 R-GV-8

null

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

null

R-GV-6

R-GV-7

R-GV-8

null

MT-12 MT-13 MT-14 MT-15

null

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Information System Recovery & Reconstitution

BCD-12

Mechanisms exist to ensure the secure recovery and reconstitution of systems to a known state after a disruption, compromise or failure.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)

null

Does the organization ensure the secure recovery and reconstitution of systems to a known state after a disruption, compromise or failure?

9

Protect

X

There is no evidence of a capability to ensure the secure recovery and reconstitution of systems to a known state after a disruption, compromise or failure.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Recoveries are performed into an isolated, non-production environment.

Business Continuity & Disaster Recovery (BCD) 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 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 ensure the secure recovery and reconstitution of systems to a known state after a disruption, compromise or failure.

CC7.5 A1.2

null

11.3

null

OPA-06 OPA-07

null

CR 7.4 (11.6.1)

null

T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1561, T1561.001, T1561.002, T1565, T1565.001

null

CP-10

null

CP-10

null

CP-10

null

PR.IP-4

RC.RP-03 RC.RP-05

null

K.8.1

null

SC:SG3.SP1

null

CP-10

null

CP-10

null

D5.IR.Pl.B.5 D5.IR.Te.E.3

null

CP-10

null

8-613

null

CP-10

null

CP-10

null

3.7.3(83)

null

25.9 25.12 25.22

null

2-8-2

null

2-4-3-3

null

B5.c

null

x

null

x

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-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4

null

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

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

R-IR-4

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

Business Continuity & Disaster Recovery

Transaction Recovery

BCD-12.1

Mechanisms exist to utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs).

null

Does the organization utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs)?

9

Recover

X

There is no evidence of a capability to utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs).

SP-CMM1 is N/A, since a structured process is required to utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Recoveries are performed into an isolated, non-production environment.

Business Continuity & Disaster Recovery (BCD) 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 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 utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs).

A1.2

null

CP-10(2)

null

CP-10(2)

null

CP-10(2)

null

CP-10(2)

null

K.2.1

null

CP-10(2)

null

CP-10(2)

null

CP-10(2)

null

CP-10(2)

null

CP-10(2)

null

CP-10(2)

null

CP-10(2)

null

CP-10(2)

null

25.9 25.21

null

2-4-3-3

null

x

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-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4

null

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

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

R-IR-4

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

Business Continuity & Disaster Recovery

Failover Capability

BCD-12.2

Mechanisms exist to implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/or services.

- Load balancers - High Availability (HA) firewalls

null

Does the organization implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/or services?

8

Recover

X

There is no evidence of a capability to implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/ or services.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Technologies exist to support business-critical application and services failover. • Technologies exist to support network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Technologies exist to support business-critical application and services failover. • Technologies exist to support network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/ or services.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/ or services.

A1.2

null

BCR-03 BCR-11

OPA-06 OPA-07

null

FR 7 (11.1) CR 7.1 (11.3.1)

null

PR.PT-P4

null

CP-10(5)

null

SI-13

null

SI-13

null

SI-13

null

PR.PT-5

PR.IR-04

null

K.1.1

null

RESPONSE-4.C.MIL1 RESPONSE-4.L.MIL2

null

Art 12.4

null

12.26 25.12

null

TPC-43

null

B5.b

null

1441

null

x

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-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4

null

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

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

R-IR-4

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

- Added NIST 800-53 R5 mapping for SI-13

Business Continuity & Disaster Recovery

Electronic Discovery (eDiscovery)

BCD-12.3

Mechanisms exist to utilize electronic discovery (eDiscovery) that covers current and archived communication transactions.

null

Does the organization utilize electronic discovery (eDiscovery) that covers current and archived communication transactions?

8

Respond

X

There is no evidence of a capability to utilize electronic discovery (eDiscovery) that covers current and archived communication transactions.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • F or eDiscovery, IT personnel manually identify and collect Electronically Stored Information (ESI) in order to respond to a request from a lawsuit or investigation.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • A documented eDiscovery process exists to support Federal Rules of Civil Procedure (FRCP) requirements for eDiscovery practices. • F or eDiscovery, IT personnel use network and endpoint-based technologies to identify, collect and produce Electronically Stored Information (ESI) in response to a request from a lawsuit or investigation.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • A documented eDiscovery process exists to support Federal Rules of Civil Procedure (FRCP) requirements for eDiscovery practices. • IT personnel use network and endpoint-based technologies to identify, collect and produce Electronically Stored Information (ESI) in response to an eDiscovery request from a lawsuit or investigation. • Predictive coding and other analytic software for e-discovery, such as Computer Assisted Review (CAR) or Technology Assisted Review (TAR), is used to reduce the number of documents required for review by attorneys and allow the legal team to prioritize the documents it does review.

Business Continuity & Disaster Recovery (BCD) 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 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 utilize electronic discovery (eDiscovery) that covers current and archived communication transactions.

null

L.1.10

null

11.3.13.C.01 11.3.13.C.02 11.3.13.C.03

null

R-AM-3 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-5 R-GV-1 R-GV-2 R-IR-1 R-IR-2 R-IR-4

null

R-AM-3

null

R-BC-2

R-BC-3

null

R-EX-1

R-EX-2

null

R-EX-5

null

R-GV-1

R-GV-2

null

R-IR-1

R-IR-2

null

R-IR-4

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Business Continuity & Disaster Recovery

Restore Within Time Period

BCD-12.4

Mechanisms exist to restore systems, applications and/or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)

null

Does the organization restore systems, applications and/or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset?

5

Respond

X

There is no evidence of a capability to restore systems, applications and/ or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset.

SP-CMM1 is N/A, since a structured process is required to restore systems, applications and/ or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset.

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.

Business Continuity & Disaster Recovery (BCD) 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 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 restore systems, applications and/ or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset.

null

BCR-03

null

CP-10(4)

null

CP-10(4)

null

CP-10(4)

null

CP-10(4)

null

K.8.1

null

CP-10(4)

null

CP-10(4)

null

CP-10(4)

null

CP-10(4)

null

x

R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-3 R-IR-4

null

R-AM-3

R-BC-1

null

R-BC-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-2

R-IR-3

R-IR-4

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

Business Continuity & Disaster Recovery

Backup & Restoration Hardware Protection

BCD-13

Mechanisms exist to protect backup and restoration hardware and software.

null

Does the organization protect backup and restoration hardware and software?

8

Protect

X

There is no evidence of a capability to protect backup and restoration hardware and software.

Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).

Business Continuity & Disaster Recovery (BCD) 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: • Business Continuity / Disaster Recovery (BC/DR) 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 BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • IT personnel maintain technologies that are compatible with existing network and infrastructure configuration.

Business Continuity & Disaster Recovery (BCD) 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 formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Logical and physical access controls restricts access to backup and restoration hardware. • IT personnel maintain technologies that are compatible with existing network and infrastructure configuration.

Business Continuity & Disaster Recovery (BCD) 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 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 protect backup and restoration hardware and software.

CC7.5

null

11.3

null

CP-10(6)

null

CP-10(6)

null

CP-10(6)

null

CP-10(6)

null

K.4

null

25.12 25.18

null

x

null

x

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-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4

null

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

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

R-IR-4

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

- Added NIST 800-53 R5 mapping for CP-10(6)