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

Secure Engineering & Architecture

Information In Shared Resources

SEA-05

Mechanisms exist to prevent unauthorized and unintended information transfer via shared system resources.

null

Does the organization prevent unauthorized and unintended information transfer via shared system resources?

8

Protect

null

X

There is no evidence of a capability to prevent unauthorized and unintended information transfer via shared system resources.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent unauthorized and unintended information transfer via shared system resources.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent unauthorized and unintended information transfer via shared system resources.

null

T1020.001, T1040, T1070, T1070.001, T1070.002, T1080, T1119, T1530, T1552, T1552.001, T1552.002, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1564.009, T1565, T1565.001, T1565.002, T1565.003, T1602, T1602.001, T1602.002

null

SC-4

null

SC-4

null

SC-4

null

SC-4

null

SC-4

null

SC-4

3.13.4

A.03.13.04[01] A.03.13.04[02]

null

A01:2021 A05:2021

null

D.16

null

SC.L2-3.13.4

null

SC.L2-3.13.4

SC-4

null

SC-4

null

SC-4

null

SC-4

null

SC-4

null

SC-4

null

8-609

null

SC-4

null

SC-4

null

OPS-24 COS-06

null

10.5 10.8

null

4-2-3-1

null

Principle 5.6

Principle 5.7

null

x

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-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-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

Secure Engineering & Architecture

Prevent Program Execution

SEA-06

Automated mechanisms exist to prevent the execution of unauthorized software programs.

null

Does the organization use automated mechanisms to prevent the execution of unauthorized software programs?

8

Protect

null

X

There is no evidence of a capability to prevent the execution of unauthorized software programs.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent the execution of unauthorized software programs.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the execution of unauthorized software programs.

null

CM-7(2)

null

CM-7(2)

null

CM-7(2)

null

CM-7(2)

null

A01:2021 A05:2021

null

I.2.5.11

null

CM-7(2)

null

CM-7(2)

null

CM-7(2)

null

CM-7(2)

null

CM-7(2)

null

CM-7(2)

null

x

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-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

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

null

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

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

Secure Engineering & Architecture

Predictable Failure Analysis

SEA-07

Mechanisms exist to determine the Mean Time to Failure (MTTF) for system components in specific environments of operation.

- Mean Time to Failure (MTTF)

null

Does the organization determine the Mean Time to Failure (MTTF) for system components in specific environments of operation?

5

Protect

null

X

There is no evidence of a capability to determine the Mean Time to Failure (MTTF) for system components in specific environments of operation.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 determine the Mean Time to Failure (MTTF) for system components in specific environments of operation.

null

SI-13

null

SI-13

null

SI-13

null

SI-13

null

NFO - SA-3

3.16.2.a 3.16.2.b

null

PR.PT-5

null

K.6.2

null

TM:SG5.SP1

null

622(2)(d)(C)(iii)

null

OR 6464A

null

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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

Secure Engineering & Architecture

Technology Lifecycle Management

SEA-07.1

Mechanisms exist to manage the usable lifecycles of technology assets.

- Computer Lifecycle Program (CLP) - Technology Asset Management (TAM)

E-AST-09

Does the organization manage the usable lifecycles of technology assets?

7

Protect

X

There is no evidence of a capability to manage the usable lifecycles of technology assets.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of technology assets and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 manage the usable lifecycles of technology assets.

null

BAI09.03 BAI09.04

null

CCM-01 CCM-05 POL-04 SET-05

null

T1078, T1078.001, T1078.003, T1078.004, T1213.003, T1574.002

null

SA-3

SA-3 SA-3(1) SA-3(3) SA-8(30)

SA-3

SA-3(1) SA-3(3) SA-8(30)

null

SA-3

null

SA-3

null

SA-3

NFO - SA-3

3.16.2.a 3.16.2.b

null

ID.AM-08

null

12.3.4

null

12.3.4

null

D.1

null

3.1.3

null

EXD:SG3.SP3 EXD:SG3.SP4 EXD:SG4.SP1 EXD:SG4.SP2 RTSE:SG2.SP2

null

SA-3

null

SA-3

null

SA-3

null

SA-3

null

3.5(55)

null

8.3

null

Principle 2.7 Principle 6.7

Principle 2.9 Principle 6.7

Principle 2.9 Principle 6.8

null

7.3.1 7.3.2 7.3.3

null

1.3.1 2.2.5

null

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-EX-6 R-EX-7 R-GV-1 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-8 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

R-EX-6

R-EX-7

R-GV-1

null

R-GV-3

R-GV-4

R-GV-5

R-GV-6

null

R-GV-8

null

R-IR-4

null

NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Secure Engineering & Architecture

Fail Secure

SEA-07.2

Mechanisms exist to enable systems to fail to an organization-defined known-state for types of failures, preserving system state information in failure.

null

Does the organization enable systems to fail to an organization-defined known-state for types of failures, preserving system state information in failure?

8

Protect

null

X

There is no evidence of a capability to enable systems to fail to an organization-defined known-state for types of failures, preserving system state information in failure.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Administrative processes exist and technologies are configured to enable systems to fail to an organization-defined known-state for types of failures, preserving system state information in failure.

Secure Engineering & Architecture (SEA) 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.

Secure Engineering & Architecture (SEA) 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

SAP-09

null

NDR 5.2 (15.12.3(3))

null

CP-12 SC-24

null

SC-24

CP-12 SA-8(24) SC-24

null

SC-24

CP-12 SA-8(24)

null

CP-12

CP-12 SC-24

null

PR.PT-5

null

A01:2021 A05:2021

null

I.2.5.12

null

EC:SG2.SP2 KIM:SG2.SP2 TM:SG2.SP2

null

SC-24

null

SC-24

null

SC-24

null

SC-24

null

8-615 8-702

null

9.17

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

- Added NIST 800-53 R5 mapping for CP-12 & SC-24

Secure Engineering & Architecture

Fail Safe

SEA-07.3

Mechanisms exist to implement fail-safe procedures when failure conditions occur.

null

Does the organization implement fail-safe procedures when failure conditions occur?

8

Protect

null

X

There is no evidence of a capability to implement fail-safe procedures when failure conditions occur.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Administrative processes exist and technologies are configured to implement fail-safe procedures when failure conditions occur.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Administrative processes exist and technologies are configured to implement fail-safe procedures when failure conditions occur.

Secure Engineering & Architecture (SEA) 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.

Secure Engineering & Architecture (SEA) 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

SAP-09

null

CR 3.6 (7.8.1)

null

SI-17

null

SI-17

null

SI-17

null

SI-17

null

J.2.17

null

RTSE:SG1.SP1

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

- Added NIST 800-53 R5 mapping for SI-17

Secure Engineering & Architecture

Non-Persistence

SEA-08

Mechanisms exist to implement non-persistent system components and services that are initiated in a known state and terminated upon the end of the session of use or periodically at an organization-defined frequency.

null

Does the organization implement non-persistent system components and services that are initiated in a known state and terminated upon the end of the session of use or periodically at an organization-defined frequency?

9

Protect

null

X

There is no evidence of a capability to implement non-persistent system components and services that are initiated in a known state and terminated up on the end of the session of use or periodically at an organization-defined frequency.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement non-persistent system components and services that are initiated in a known state and terminated up on the end of the session of use or periodically at an organization-defined frequency.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement non-persistent system components and services that are initiated in a known state and terminated up on the end of the session of use or periodically at an organization-defined frequency.

null

CR 4.2 (8.4.1) CR 4.2 (8.4.3(1)) CR 4.2 (8.4.3(2))

null

T1505, T1505.001, T1505.002, T1505.004, T1546.003, T1547.004, T1547.006

null

SI-14

null

SI-14

null

SI-14

null

3.13.2e 3.14.4e

null

A01:2021 A05:2021

null

D.1.1.1

null

TBD - 3.13.2e TBD - 3.14.4e

null

x

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

Secure Engineering & Architecture

Refresh from Trusted Sources

SEA-08.1

Mechanisms exist to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)

null

Does the organization ensure that software and data needed for information system component and service refreshes are obtained from trusted sources?

5

Protect

null

X

There is no evidence of a capability to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.

SP-CMM1 is N/A, since a structured process is required to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.

null

CR 3.12 (7.14)

null

SI-14(1)

null

SA-3(3) SI-14(1)

null

SA-3(3) SI-14(1)

null

3.4.1e 3.14.4e

null

T.2

null

TBD - 3.4.1e TBD - 3.14.4e

null

CM.L3-3.4.1e

null

1-6-3-2

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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

Secure Engineering & Architecture

Information Output Filtering

SEA-09

Mechanisms exist to validate information output from software programs and/or applications to ensure that the information is consistent with the expected content.

null

Does the organization validate information output from software programs and/or applications to ensure that the information is consistent with the expected content?

8

Protect

null

X

There is no evidence of a capability to validate information output from software programs and/ or applications to ensure that the information is consistent with the expected content.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate information output from software programs and/ or applications to ensure that the information is consistent with the expected content.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate information output from software programs and/ or applications to ensure that the information is consistent with the expected content.

null

T1021.002, T1021.005, T1048, T1048.001, T1048.002, T1048.003, T1071.004, T1090, T1090.003, T1095, T1187, T1197, T1205, T1205.001, T1218.012, T1219, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1530, T1537, T1552, T1552.005, T1557, T1557.001, T1557.002, T1564.009, T1570, T1572, T1599, T1599.001, T1602, T1602.001, T1602.002

null

SI-15

null

SI-15

null

SI-15

null

D.3

null

KIM:SG5.SP3

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

Secure Engineering & Architecture

Limit Personal Data (PD) Dissemination

SEA-09.1

Mechanisms exist to limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.

- Data Protection Impact Assessment (DPIA)

null

Does the organization limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes?

8

Protect

null

X

There is no evidence of a capability to limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Administrative processes limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Administrative processes limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.

null

CT.DP-P4

null

P.4.2

null

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

R-AC-1

null

R-AC-4

null

R-AM-3

null

R-BC-2

null

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

R-GV-6

R-GV-7

null

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Secure Engineering & Architecture

Memory Protection

SEA-10

Mechanisms exist to implement security safeguards to protect system memory from unauthorized code execution.

- Puppet (https://puppet.com/) - Chef (https://www.chef.io/) (https://www.chef.io/)

null

Does the organization implement security safeguards to protect system memory from unauthorized code execution?

8

Protect

null

X

There is no evidence of a capability to implement security safeguards to protect system memory from unauthorized code execution.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement security safeguards to protect system memory from unauthorized code execution.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement security safeguards to protect system memory from unauthorized code execution.

null

T1003.001, T1047, T1055.009, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1505.004, T1543, T1543.002, T1547.004, T1547.006, T1548, T1548.004, T1565, T1565.001, T1565.003, T1611

null

SI-16

null

SI-16

null

SI-16

null

SI-16

null

NFO - SI-16

null

P.7.5

null

KIM:SG2.SP2

null

SI-16

null

SI-16

null

SI-16

null

SI-16

null

SI-16

null

SI-16

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

Secure Engineering & Architecture

Honeypots

SEA-11

Mechanisms exist to utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks.

null

Does the organization utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks?

3

Protect

null

X

There is no evidence of a capability to utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks.

SP-CMM1 is N/A, since a structured process is required to utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks.

null

T1068, T1210, T1211, T1212

null

SC-26

null

IR-4(13) SC-26

null

IR-4(13) SC-26

null

3.13.3e

null

P.7

null

TBD - 3.13.3e

null

8.L.F

null

23.5

null

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

null

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

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

Secure Engineering & Architecture

Honeyclients

SEA-12

Mechanisms exist to utilize honeyclients that proactively seek to identify malicious websites and/or web-based malicious code.

null

Does the organization utilize honeyclients that proactively seek to identify malicious websites and/or web-based malicious code?

3

Protect

null

X

There is no evidence of a capability to utilize honeyclients that proactively seek to identify malicious websites and/ or web-based malicious code.

SP-CMM1 is N/A, since a structured process is required to utilize honeyclients that proactively seek to identify malicious websites and/ or web-based malicious code.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 honeyclients that proactively seek to identify malicious websites and/ or web-based malicious code.

null

T1068, T1210, T1211, T1212

null

SC-35

null

IR-4(13) SC-35

null

IR-4(13) SC-35

null

P.7.5

null

8.L.F

SC-35

null

23.5

null

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

null

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

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

Secure Engineering & Architecture

Heterogeneity

SEA-13

Mechanisms exist to utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM).

null

Does the organization utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM)?

3

Protect

null

X

There is no evidence of a capability to utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM).

SP-CMM1 is N/A, since a structured process is required to utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM).

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM).

null

T1068, T1189, T1190, T1203, T1210, T1211, T1212

null

SC-29

null

SC-29

null

SC-29

null

SC-29

null

SC-29

null

3.13.1e

null

T.8

null

TBD - 3.13.1e

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-7 MT-1 MT-2 MT-7 MT-8 MT-9 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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Secure Engineering & Architecture

Virtualization Techniques

SEA-13.1

Mechanisms exist to utilize virtualization techniques to support the employment of a diversity of operating systems and applications.

null

Does the organization utilize virtualization techniques to support the employment of a diversity of operating systems and applications?

6

Protect

null

X

There is no evidence of a capability to utilize virtualization techniques to support the employment of a diversity of operating systems and applications.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 virtualization techniques to support the employment of a diversity of operating systems and applications.

null

IVS-01 IVS-04

null

SC-29(1)

null

SC-29(1)

null

SC-29(1)

null

3.13.1e

null

D.16.4

null

5.10.3 5.10.3.2

null

TBD - 3.13.1e

null

2.L.F

null

PSS-11

null

1460 1604 1605 1606 1607 1461

null

22.2.12.C.01 22.2.12.C.02 22.2.12.C.03 22.2.12.C.04 22.2.13.C.01 22.2.13.C.02 22.2.14.C.01 22.2.14.C.02 22.2.14.C.03 22.2.14.C.04 22.2.14.C.05 22.2.14.C.06 22.2.14.C.07 22.2.15.C.01 22.2.15.C.02 22.2.15.C.03 22.2.15.C.04 22.2.15.C.05 22.2.15.C.06 22.2.15.C.07 22.2.16.C.01 22.2.16.C.02 22.2.16.C.03

null

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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

Secure Engineering & Architecture

Concealment & Misdirection

SEA-14

Mechanisms exist to utilize concealment and misdirection techniques for systems to confuse and mislead adversaries.

null

Does the organization utilize concealment and misdirection techniques for systems to confuse and mislead adversaries?

2

Protect

null

X

There is no evidence of a capability to utilize concealment and misdirection techniques for systems to confuse and mislead adversaries.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize concealment and misdirection techniques for systems to confuse and mislead adversaries.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize concealment and misdirection techniques for systems to confuse and mislead adversaries.

null

T1068, T1189, T1190, T1203, T1210, T1211, T1212

null

SC-30

null

SC-30 SC-30(4) SC-30(5)

null

SC-30

null

SC-30 SC-30(4) SC-30(5)

null

SC-30 SC-30(4) SC-30(5)

null

3.13.3e

null

O.47

null

TBD - 3.13.3e

null

R-AM-3 R-BC-2 R-BC-4

null

R-AM-3

null

R-BC-2

null

R-BC-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

Secure Engineering & Architecture

Randomness

SEA-14.1

Automated mechanisms exist to introduce randomness into organizational operations and assets.

null

Does the organization use automated mechanisms to introduce randomness into organizational operations and assets?

5

Protect

null

X

There is no evidence of a capability to introduce randomness into organizational operations and assets.

SP-CMM1 is N/A, since a structured process is required to introduce randomness into organizational operations and assets.

SP-CMM2 is N/A, since a well-defined process is required to introduce randomness into organizational operations and assets.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to introduce randomness into organizational operations and assets.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to introduce randomness into organizational operations and assets.

null

SC-30(2)

null

SC-30(2)

null

SC-30(2)

null

SC-30(2)

null

SC-30(2)

null

3.13.2e 3.13.3e

null

I.2.11.9

null

TBD - 3.13.2e TBD - 3.13.3e

null

R-AM-3 R-BC-2 R-BC-4

null

R-AM-3

null

R-BC-2

null

R-BC-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

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

null

Secure Engineering & Architecture

Change Processing & Storage Locations

SEA-14.2

Automated mechanisms exist to change the location of processing and/or storage at random time intervals.

null

Does the organization use automated mechanisms to change the location of processing and/or storage at random time intervals?

5

Protect

null

X

There is no evidence of a capability to change the location of processing and/ or storage at random time intervals.

SP-CMM1 is N/A, since a structured process is required to change the location of processing and/ or storage at random time intervals.

SP-CMM2 is N/A, since a well-defined process is required to change the location of processing and/ or storage at random time intervals.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to change the location of processing and/ or storage at random time intervals.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to change the location of processing and/ or storage at random time intervals.

null

SC-30(3)

null

SC-30(3)

null

SC-30(3)

null

SC-30(3)

null

SC-30(3)

null

3.13.5e

null

D.3

null

TBD - 3.13.5e

null

R-AM-3 R-BC-2 R-BC-4

null

R-AM-3

null

R-BC-2

null

R-BC-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

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

null

Secure Engineering & Architecture

Distributed Processing & Storage

SEA-15

Mechanisms exist to distribute processing and storage across multiple physical locations.

null

Does the organization distribute processing and storage across multiple physical locations?

4

Protect

null

X

There is no evidence of a capability to distribute processing and storage across multiple physical locations.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 distribute processing and storage across multiple physical locations.

null

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

null

SC-36

null

PE-23 SC-36

null

PE-23 SC-36

null

SC-36

null

SC-36

null

SC-36

null

3.13.5e

null

K.21

null

EC:SG3.SP2

null

TBD - 3.13.5e

null

Art 6.1 Art 26.1 Art 26.2 Art 26.3 Art 28.1 Art 28.2 Art 28.3 Art 28.4 Art 28.5 Art 28.6 Art 28.9 Art 28.10 Art 29 Art 44 Art 45.1 Art 45.2 Art 46.1 Art 46.2 Art 46.3 Art 47.1 Art 47.2 Art 48 Art 49.1 Art 49.2 Art 49.6

null

Sec 10

Chapter 4 - Art 16

Art 14 Art 16 Art 27

Art 41

null

Art 34

null

Sec 7

Sec 2

null

Sec 16 Sec 17

Sec 31

null

Art 3 Art 4

Sec 12 Sec 13 Sec 14

null

Sec 13 Sec 14

Art 1 Art 36

Art 14 Art 15

null

Art 7

null

Sec 19 Sec 21

null

Sec 31

null

Art 1

Article 20

null

Sec 9

null

Sec 25

Sec 24 Sec 26

null

Art 17 Art 27

null

Art 9 Art 26

null

Sec 20

Art 7

Art 26

null

x

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 R-GV-1 R-GV-2 R-GV-4 R-GV-5

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

R-GV-2

null

R-GV-4

R-GV-5

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

Secure Engineering & Architecture

Non-Modifiable Executable Programs

SEA-16

Mechanisms exist to utilize non-modifiable executable programs that load and execute the operating environment and applications from hardware-enforced, read-only media.

null

Does the organization utilize non-modifiable executable programs that load and execute the operating environment and applications from hardware-enforced, read-only media?

1

Protect

null

X

There is no evidence of a capability to utilize non-modifiable executable programs that load and execute the operating environment and applications from hardware-enforced, read-only media.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 non-modifiable executable programs that load and execute the operating environment and applications from hardware-enforced, read-only media.

null

T1047, T1195.003, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1548, T1548.004, T1553, T1553.006, T1601, T1601.001, T1601.002, T1611

null

SC-34

null

SC-34

null

SC-34

null

N.1

null

8-302 8-304 8-311

null

R-AM-3 R-BC-2 R-BC-4

null

R-AM-3

null

R-BC-2

null

R-BC-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

Secure Engineering & Architecture

Secure Log-On Procedures

SEA-17

Mechanisms exist to utilize a trusted communications path between the user and the security functions of the system.

- Active Directory (AD) Ctrl+Alt+Del login process

null

Does the organization utilize a trusted communications path between the user and the security functions of the system?

8

Protect

null

X

There is no evidence of a capability to utilize a trusted communications path between the user and the security functions of the system.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 a trusted communications path between the user and the security functions of the system.

null

9.4.2

8.5

9.4.2

null

6.6.4.2

null

H.3

null

7.2.6 [OP.ACC.6]

null

9.4.2 9.4.2.2.B

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

Secure Engineering & Architecture

System Use Notification (Logon Banner)

SEA-18

Mechanisms exist to utilize system use notification / logon banners that display an approved system use notification message or banner before granting access to the system that provides cybersecurity & data privacy notices.

- Logon banner - System use notifications - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)

null

Does the organization utilize system use notification / logon banners that display an approved system use notification message or banner before granting access to the system that provides cybersecurity & data privacy notices?

9

Protect

null

X

There is no evidence of a capability to utilize system use notification / log on banners that display an approved system use notification message or banner before granting access to the system that provides data privacy and security notices.

SP-CMM1 is N/A, since a structured process is required to utilize system use notification / log on banners that display an approved system use notification message or banner before granting access to the system that provides data privacy and security notices.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 system use notification / log on banners that display an approved system use notification message or banner before granting access to the system that provides data privacy and security notices.

null

CR 1.12 (5.14.1)

null

T1199

null

AC-8

null

AC-8

null

AC-8

null

3.1.9

3.1.9[a] 3.1.9[b]

A.03.01.09

null

H.6.7

null

TM:SG4.SP1

null

5.5.4

null

AC.L2-3.1.9

null

AC.L2-3.1.9

AC-8

null

AC-8

null

AC-8

null

8-609

18.6 19.6

null

5.10

AC-8

null

AC-8

null

0408 0979

null

16.1.48.C.01 16.1.48.C.02 16.1.48.C.03

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

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

Secure Engineering & Architecture

Standardized Microsoft Windows Banner

SEA-18.1

Mechanisms exist to configure Microsoft Windows-based systems to display an approved logon banner before granting access to the system that provides cybersecurity & data privacy notices.

- Active Directory (AD) Ctrl+Alt+Del login process - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)

null

Does the organization configure Microsoft Windows-based systems to display an approved logon banner before granting access to the system that provides cybersecurity & data privacy notices?

9

Protect

null

X

There is no evidence of a capability to configure Microsoft Windows-based systems to display an approved log on banner before granting access to the system that provides data privacy and security notices.

SP-CMM1 is N/A, since a structured process is required to configure Microsoft Windows-based systems to display an approved log on banner before granting access to the system that provides data privacy and security notices.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 configure Microsoft Windows-based systems to display an approved log on banner before granting access to the system that provides data privacy and security notices.

null

CR 1.12 (5.14.1)

null

3.1.9

3.1.9[a] 3.1.9[b]

A.03.01.09

null

H.6.13

null

5.5.4

null

AC.L2-3.1.9

null

AC.L2-3.1.9

null

5.10

null

0408 0979

null

16.1.48.C.01 16.1.48.C.02 16.1.48.C.03

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

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

Secure Engineering & Architecture

Truncated Banner

SEA-18.2

Mechanisms exist to utilize a truncated system use notification / logon banner on systems not capable of displaying a logon banner from a centralized source, such as Active Directory.

- Logon banner - System use notifications - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)

null

Does the organization utilize a truncated system use notification / logon banner on systems not capable of displaying a logon banner from a centralized source, such as Active Directory?

9

Protect

null

X

There is no evidence of a capability to utilize a truncated system use notification / log on banner on systems not capable of displaying a log on banner from a centralized source, such as Active Directory.

SP-CMM1 is N/A, since a structured process is required to utilize a truncated system use notification / log on banner on systems not capable of displaying a log on banner from a centralized source, such as Active Directory.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 a truncated system use notification / log on banner on systems not capable of displaying a log on banner from a centralized source, such as Active Directory.

null

CR 1.12 (5.14.1)

null

3.1.9

3.1.9[a] 3.1.9[b]

A.03.01.09

null

H.6.12

null

5.5.4

null

AC.L2-3.1.9

null

AC.L2-3.1.9

null

5.10

null

0408 0979

null

16.1.48.C.01 16.1.48.C.02 16.1.48.C.03

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

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

Secure Engineering & Architecture

Previous Logon Notification

SEA-19

Mechanisms exist to configure systems that process, store or transmit sensitive/regulated data to notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon.

- Network Time Protocol (NTP)

null

Does the organization configure systems that process, store or transmit sensitive/regulated data to notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon?

3

Protect

null

X

There is no evidence of a capability to configure systems that process, store or transmit sensitive/regulated data to notify the user, up on successful logon, of the number of unsuccessful log on attempts since the last successful logon.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 configure systems that process, store or transmit sensitive/regulated data to notify the user, up on successful logon, of the number of unsuccessful log on attempts since the last successful logon.

null

AC-9

null

AC-9

null

AC-9

null

H.13

null

TM:SG4.SP1

null

8-609

null

16.1.49.C.01 16.1.50.C.01 16.1.50.C.02

null

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

null

R-AM-3

null

R-IR-1

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

Secure Engineering & Architecture

Clock Synchronization

SEA-20

Mechanisms exist to utilize time-synchronization technology to synchronize all critical system clocks.

- Network Time Protocol (NTP)

null

Does the organization utilize time-synchronization technology to synchronize all critical system clocks?

9

Protect

null

X

There is no evidence of a capability to utilize time-synchronization technology to synchronize all critical system clocks.

Secure Engineering & Architecture (SEA) 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 use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.

Secure Engineering & Architecture (SEA) 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: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.

Secure Engineering & Architecture (SEA) 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: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.

Secure Engineering & Architecture (SEA) 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 time-synchronization technology to synchronize all critical system clocks.

null

12.4.4

8.17

12.4.4

null

6.9.4.4

null

AU-8

null

AU-8

null

AU-8

null

3.3.7

null

10.4 10.4.1 10.4.2 10.4.3

10.6 10.6.1 10.6.2 10.6.3

null

10.6.1 10.6.2 10.6.3

null

10.6.1 10.6.2 10.6.3

null

10.6.1 10.6.2 10.6.3

null

G.6

null

TM:SG2.SP2

null

AU.L2-3.3.7

null

AU.L2-3.3.7

null

AU-8

null

AU-8

null

AU-8

null

12.4.4 12.4.4.4.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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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

Security Operations

Operations Security

OPS-01

Mechanisms exist to facilitate the implementation of operational security controls.

- Standardized Operating Procedures (SOP) - ITIL v4 - COBIT 2019

null

Does the organization facilitate the implementation of operational security controls?

8

Protect

null

X

There is no evidence of a capability to facilitate the implementation of operational security controls.

Security Operations (OPS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity operations are decentralized. • The responsibility for developing and operating cybersecurity & data privacy procedures are up to the business process owner(s) to determine, including the definition and enforcement of roles and responsibilities.

Security operations (OPS) 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: • Security operations 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 to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.

Security Operations (OPS) 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 to determine prioritized and authoritative guidance for cybersecurity operations practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for cybersecurity operations. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to cybersecurity operations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including cybersecurity operations. • A Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.

Security Operations (OPS) 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 operational security controls.

CC2.2

null

8 8.1

null

Principle 14

IVS-08

IAM-16

SO13

null

8.1 8.4.2.1 8.4.2.2 8.4.2.3 8.4.2.4

8.1

12.1.1

5.37

7.2.2 12.1.1 CLD.12.1.5

null

6.9 6.9.1 6.9.1.1

null

T1005, T1025

TS-1.5

null

GOVERN 1.0 GOVERN 1.2 GOVERN 1.3 GOVERN 1.4 GOVERN 2.2 GOVERN 3.2 GOVERN 4.1 GOVERN 5.1 GOVERN 6.0 GOVERN 6.1 MAP 3.5

null

SC-38

null

SC-38 SR-7

null

SC-38 SR-7

null

3.4.12

SC-38 SR-7

null

SC-38 SR-7

null

3.15.1.a 3.15.1.b

null

1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1

3.1.1

1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 8.1.1 8.3.8

3.1.1

3.1.1 8.1.1 9.1.1

2.1.1 3.1.1 5.1.1 8.1.1 8.3.8 9.1.1 10.1.1

2.1.1 3.1.1 8.1.1 9.1.1

1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1

3.1.1 9.1.1

G.2

null

5.2

null

ADM:SG1.SP1 EC:SG3.SP2 KIM:SG1.SP1 OPD:SG1.SP4 OPF:SG3.SP1 RISK:SG4.SP1 VAR:SG2.SP3

null

252.204-7008 252.204-7012

null

§ 11.10 § 11.10(f)

null

314.4(c)(7)

null

8.M.A

8.M.A 8.L.A

null

CIP-003-6 R4

null

III.B.2 III.B.2.a III.B.2.b

null

Art 9.1 Art 9.2

null

Art 32.1 Art 32.2

null

Sec 14 Sec 15

Art 16

null

SP-01

null

Sec 19

null

B4.c C1.e

null

Article 51 Article 51(1) Article 51(2) Article 51(3) Article 51(4) Article 51(5) Article 51(6)

null

4.5.4 4.5.4.1 4.5.4.2 4.5.4.3 4.5.4.4 4.5.4.5 7.2.2.19.PB 12.1.1 12.1.5.P

null

9.1

null

7.1.1

null

1.3 1.5

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-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16

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

MT-16

null

Security Operations

Standardized Operating Procedures (SOP)

OPS-01.1

Mechanisms exist to identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.

- Standardized Operating Procedures (SOP)

E-GOV-11

Does the organization identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks?

9

Protect

null

X

null

There is no evidence of a capability to identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.

Security Operations (OPS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity operations are decentralized. • The responsibility for developing and operating cybersecurity & data privacy procedures are up to the business process owner(s) to determine, including the definition and enforcement of roles and responsibilities.

Security operations (OPS) 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: • Security operations 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 to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.

Security Operations (OPS) 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 Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.

Security Operations (OPS) 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 Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.

CC2.2 CC5.1 CC5.3

CC5.3-POF3

4.2

null

APO01.09 DSS01.01

Principle 10 Principle 12 Principle 14

null

8.1 8.4.2.1 8.4.2.2 8.4.2.3 8.4.2.4 8.4.5

7.5

8.1

12.1.1

5.37

7.2.2 12.1.1 CLD.12.1.5

null

6.9 6.9.1 6.9.1.1

null

OR-1.0 OR-3.0 OP-2.0 PS-2.0 TS-1.5 TS-2.4 TS-2.6 TS-2.8 TS-2.11 TS-3.0

null

GOVERN 1.0 GOVERN 1.2 GOVERN 1.3 GOVERN 1.4 GOVERN 2.2 GOVERN 3.2 GOVERN 4.1 GOVERN 5.1 GOVERN 6.0 GOVERN 6.1 MAP 3.5

GV.MT-P3 GV.MT-P4 GV.MT-P5 GV.MT-P6 GV.MT-P7 CT.PO-P1 CT.PO-P2 CT.PO-P3 CM.PO-P1 CM.AW-P1

null

SA-8(32)

null

SA-8(32)

null

3.4.12

null

3.15.1.a 3.15.1.b

null

A.03.15.01.a[03] A.03.15.01.a[04]

null

GV.PO-01 GV.PO-02

null

1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1

3.1.1

1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 8.1.1 8.3.8

3.1.1

3.1.1 8.1.1 9.1.1

2.1.1 3.1.1 5.1.1 8.1.1 8.3.8 9.1.1 10.1.1

2.1.1 3.1.1 8.1.1 9.1.1

1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1

3.1.1 9.1.1

G.2.6

null

9.4

null

ASSET-4.C.MIL2 ASSET-5.A.MIL2 THREAT-3.A.MIL2 RISK-5.A.MIL2 ACCESS-4.A.MIL2 SITUATION-4.A.MIL2 RESPONSE-5.A.MIL2 THIRD-PARTIES-3.A.MIL2 WORKFORCE-4.A.MIL2 ARCHITECTURE-5.A.MIL2 PROGRAM-3.A.MIL2

GG2.GP2 GG2.GP4 GG3.GP1 OPD:SG1.SP4 OPD:SG1.SP5 OPD:SG1.SP6 OPF:SG3.SP1 OPF:SG3.SP2 OPF:SG3.SP4

null

4.2.5.1 5.8 5.9

null

252.204-7008 252.204-7012

null

§ 11.10 § 11.10(f) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2)

null

314.4(c)(7) 314.4(c)(8) 314.4(e)

null

4.S.B

8.M.A

8.M.A 8.L.A

2.C.2

null

CIP-003-6 R4

null

5.2

null

III.D

null

3.4.2.(31) 3.4.2(31)(a) 3.4.2(31)(b) 3.4.2(31)(c) 3.4.2(31)(d) 3.4.2(31)(e) 3.4.2(31)(f) 3.4.2(31)(g) 3.4.5(38) 3.5(50)

Art 6.2 Art 9.2 Art 9.4(e)

null

SP-01 IDM-02

null

12.2 12.3 18.2 22.2

null

6.3 [ORG.3]

null

B4.c

null

Article 5(1)(f)

null

Article 51 Article 51(1) Article 51(2) Article 51(3) Article 51(4) Article 51(5) Article 51(6)

null

4.5.4 4.5.4.1 4.5.4.2 4.5.4.3 4.5.4.4 4.8 7.2.2.19.PB 12.1.1 12.1.5.P

null

1.4.2 3.3 3.3.1 3.3.2 3.3.3 4.3 4.3.1 4.3.2 5.3 5.3.1 5.3.2 6.3 6.3.1 6.3.2 6.3.3 7.2 7.2.1 7.2.2 7.2.3 8.3 8.3.1 8.3.2 8.3.3 9.3 9.3.1 9.3.2 9.3.3 10.3 10.3.1 10.3.2 10.3.3 11.3 11.3.1 11.3.2 11.3.3 12.3 12.3.1 12.3.2 12.3.3 13.3 13.3.1 13.3.2 13.3.3 14.3 14.3.1 14.3.2 14.3.3 15.3 15.3.1 15.3.2 15.3.3 16.3 16.3.1 16.3.2 16.3.3 17.3 17.3.1 17.3.2 17.3.3 18.3 18.3.1 18.3.2 18.3.3 19.3 19.3.1 19.3.2 19.3.3

3.4.12.C.01 3.4.12.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

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-4 R-BC-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

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

R-BC-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-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Operations

Security Concept Of Operations (CONOPS)

OPS-02

Mechanisms exist to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders.

null

Does the organization develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders?

9

Protect

X

There is no evidence of a capability to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders.

SP-CMM1 is N/A, since a structured process is required to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders.

Security operations (OPS) 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: • Security operations 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 to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.

Security Operations (OPS) 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 Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders.

CC5.1 CC7.2

null

8.1

null

Principle 2 Principle 10

IVS-08 STA-06

null

SO13

null

8.1

null

CLD.12.1.5

null

6.9 6.9.1 6.9.1.1

null

ID.BE-P1 ID.BE-P2 ID.BE-P3 PR.PO-P4

null

PL-7

null

PL-7

null

PL-7

null

3.4.12

PL-7

null

PL-7

null

GV.OC-01 GV.OC-04 GV.RM-04 ID.IM-04

null

D.2

null

EF:SG2.SP1 GG2.GP1

null

8.M.A

8.M.A 8.L.A

null

8-610

null

III.B.2 III.B.2.a III.B.2.b

null

500.1

null

3.2.1(6)

Art 9.1 Art 9.2

null

4.5.4 12.1.5.P

null

5.1.15.C.01

null

4.30

null

x

null

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-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-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Operations

Service Delivery (Business Process Support)

OPS-03

Mechanisms exist to define supporting business processes and implement appropriate governance and service management to ensure appropriate planning, delivery and support of the organization's technology capabilities supporting business functions, workforce, and/or customers based on industry-recognized standards to achieve the specific goals of the process area.

- ITIL v4 - COBIT 2019

E-TPM-04

Does the organization define supporting business processes and implement appropriate governance and service management to ensure appropriate planning, delivery and support of the organization's technology capabilities supporting business functions, workforce, and/or customers based on industry-recognized standards to achieve the specific goals of the process area?

7

Protect

X

null

There is no evidence of a capability to define supporting business processes and implement appropriate governance and service management to ensure appropriate planning, delivery and support of the organization's technology capabilities supporting business functions, workforce, and/ or customers based on industry-recognized standards to achieve the specific goals of the process area.

Security Operations (OPS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity operations are decentralized. • The responsibility for developing and operating cybersecurity & data privacy procedures are up to the business process owner(s) to determine, including the definition and enforcement of roles and responsibilities.

Security operations (OPS) 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: • Security operations 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 to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.

Security Operations (OPS) 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 Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.

Security Operations (OPS) 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 define supporting business processes and implement appropriate governance and service management to ensure appropriate planning, delivery and support of the organization's technology capabilities supporting business functions, workforce, and/ or customers based on industry-recognized standards to achieve the specific goals of the process area.

CC2.1 PI1.1

CC2.1-POF1 CC2.1-POF2 CC2.1-POF3 CC2.1-POF4 CC2.2-POF1 CC2.3-POF2 CC2.3-POF6 CC3.1-POF7 CC3.1-POF8 CC3.1-POF9 CC3.1-POF10 CC3.1-POF11 CC3.1-POF12 CC3.1-POF13 CC3.1-POF14 CC3.1-POF15 CC3.1-POF16 CC5.3-POF3 PI1.3-POF1 PI1.3-POF2 PI1.3-POF3 PI1.3-POF4 PI1.3-POF5 PI1.4-POF1 PI1.4-POF2 PI1.4-POF3 PI1.4-POF4 PI1.5-POF1 PI1.5-POF2 PI1.5-POF3 PI1.5-POF4

null

APO01.11 APO09.03 APO09.04 APO09.05 APO11.01 APO11.02 APO11.03 APO11.04 APO11.05

Principle 13

STA-06

IAM-16 SNT-03

null

RQ-05-11 RQ-06-03.a RQ-06-03.b RQ-06-03.c RQ-06-03.d RQ-06-03.e RQ-06-03.f

8.1 8.4.2.1 8.4.2.2 8.4.2.3 8.4.2.4

null

8.1

null

5.37

CLD.12.1.5

null

ID.IM-P5

null

IP-4 IP-4(1)

null

3.4.12

null

G.2.6

null

9.4

null

ASSET-4.C.MIL2 ASSET-5.A.MIL2 THREAT-3.A.MIL2 RISK-5.A.MIL2 ACCESS-4.A.MIL2 SITUATION-4.A.MIL2 RESPONSE-5.A.MIL2 THIRD-PARTIES-3.A.MIL2 WORKFORCE-4.A.MIL2 ARCHITECTURE-5.A.MIL2 PROGRAM-3.A.MIL2

GG1.GP1 GG2.GP6 GG3.GP1 GG3.GP2 OPD:SG1.SP3 OPD:SG1.SP4 OPD:SG1.SP5 OPF:SG3.SP3

null

5.1.2 5.1.2.1

null

IP-4 IP-4(1)

null

§ 11.10 § 11.10(f)

null

8.M.A

8.M.A 8.L.A

2.C.9

null

Art 9.1 Art 9.2

null

8.1 8.2 11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8

null

B4.c C1.e

null

Article 5(1)(f)

null

Article 51

null

4.5.4 4.5.4.1 4.5.4.2 4.5.4.3 4.5.4.4 12.1.5.P

null

7.1.1

null

1.3 1.5

null

x

null

R-AM-3 R-BC-1 R-BC-3 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-SA-1 R-SA-2

null

R-AM-3

R-BC-1

null

R-BC-3

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-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Operations

Security Operations Center (SOC)

OPS-04

Mechanisms exist to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.

null

Does the organization establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability?

8

Protect

null

X

There is no evidence of a capability to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.

SP-CMM1 is N/A, since a structured process is required to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.

Security operations (OPS) 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: • Security operations 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 to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.

Security Operations (OPS) 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 Security Operations Center (SOC), or similar function, o Has a defined mission and expected functions. o Manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. o Configures monitoring technologies to implement the legally-allowable enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel on enhanced monitoring activities. o Is capable of detecting and responding to potential incidents through a formalized intake of security-related tickets; log monitoring; and analyzing threat intelligence feeds. o Is staffed internally by qualified cybersecurity personnel, or is outsourced to a Managed Security Services Provider (MSSP). o Maintains a documented knowledge management repository to assist in SOC operations. o Ensures personnel are assigned appropriate roles and responsibilities to assist Integrated Security Incident Response Team (ISIRT) personnel in incident response operations. o Responds to cybersecurity & data privacy incidents according to documented procedures.

Security Operations (OPS) 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 establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.

null

T1005, T1025

null

SC-38

null

IR-4(14) SC-38

null

IR-4(14) SC-38

null

SC-38

null

SC-38

null

3.6.1e

null

J.4

null

TBD - 3.6.1e

null

IR.L3-3.6.1e

null

B4.c C1.e

null

12.2.1

null

1.4

null

x

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

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

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-1

R-IR-2

null

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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Operations

Secure Practices Guidelines

OPS-05

Mechanisms exist to provide guidelines and recommendations for the secure use of products and/or services to assist in the configuration, installation and use of the product and/or service.

null

Does the organization provide guidelines and recommendations for the secure use of products and/or services to assist in the configuration, installation and use of the product and/or service?

7

Protect

null

X

null

There is no evidence of a capability to provide guidelines and recommendations for the secure use of products and/ or services to assist in the configuration, installation and use of the product and/ or service.

SP-CMM1 is N/A, since a structured process is required to provide guidelines and recommendations for the secure use of products and/ or services to assist in the configuration, installation and use of the product and/ or service.

Security operations (OPS) 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: • Security operations 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 to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.

Security Operations (OPS) 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 Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide guidelines and recommendations for the secure use of products and/ or services to assist in the configuration, installation and use of the product and/ or service.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide guidelines and recommendations for the secure use of products and/ or services to assist in the configuration, installation and use of the product and/ or service.

null

STA-03

null

D.2

null

PSS-01

null

4.29 4.30

null

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

null

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

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-1

R-IR-2

null

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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Cybersecurity & Data Privacy-Minded Workforce

SAT-01

Mechanisms exist to facilitate the implementation of security workforce development and awareness controls.

null

Does the organization facilitate the implementation of security workforce development and awareness controls?

8

Protect

X

null

There is no evidence of a capability to facilitate the implementation of security workforce development and awareness controls.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) 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 to determine prioritized and authoritative guidance for security awareness and training practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for security awareness and training. • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

Security Awareness & Training (SAT) 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 security workforce development and awareness controls.

CC1.4

CC2.2-POF8

6

14.0 14.1

14.1

null

Principle 4

DCS-11 HRS-11 HRS-13

TRN-01 TRN-02

SO6

null

RQ-05-06

7.3

7.4 7.4(a) 7.4(b) 7.4(c) 7.4(d)

7.2.2

6.3

7.2.2

null

6.4.2.2

null

OR-3.1 OR-3.2

Sec 4(D)(5)

GOVERN 4.1

GV.AT-P1 GV.AT-P2 GV.AT-P3 GV.AT-P4

PO.2.2

null

2.7

AT-1 PM-13

AT-1

AT-1 PM-13

AT-1

PM-13

null

AT-1

null

AT-1 PM-13

AT-1

null

AT-1 PM-13

null

NFO - AT-1

3.2.1.a 3.2.1.a.1 3.2.1.a.2 3.2.1.a.3 3.2.1.b

null

A.03.02.01.a.01[01] A.03.02.01.a.01[02] A.03.02.01.a.02 A.03.02.01.b[01] A.03.02.01.b[02] A.03.02.01.ODP[01]

null

PR.AT-1 PR.AT-3 PR.AT-4

PR.AT

null

8.3.8 9.5.1 9.5.1.3 12.6 12.6.1 12.6.2 A3.1.4

null

8.3.8 12.6.1

9.5.1 9.5.1.3 12.6.1

8.3.8 9.5.1 9.5.1.3 12.6.1

12.6.1

8.3.8 9.5.1 9.5.1.3 12.6.1 12.6.2

9.5.1 9.5.1.3 12.6.1

E.1.6

7.2

2.1.3

null

WORKFORCE-2.A.MIL1 WORKFORCE-2.B.MIL2 WORKFORCE-2.C.MIL2 WORKFORCE-2.D.MIL2 WORKFORCE-2.E.MIL3 WORKFORCE-2.F.MIL3 WORKFORCE-2.G.MIL3

EF:SG2.SP2 EF:SG3.SP2 GG2.GP5 OTA:SG1.SP1 OTA:SG1.SP2 OTA:SG1.SP3 OTA:SG3.SP1 OTA:SG3.SP2 OTA:SG3.SP3

4.3

5.2

null

AT-1 PM-13

null

§ 11.10 § 11.10(i)

AT-1

null

D1.TC.Tr.B.2 D1.TC.Tr.B.4 D1.TC.Tr.Int.2 D1.TC.Tr.E.2

null

314.4(e)(1)

164.308(a)(5) 164.308(a)(5)(i) 164.308(a)(5)(ii)(A) 164.308(a)(5)(ii)(B) 164.308(a)(5)(ii)(C) 164.308(a)(5)(ii)(D)

1.S.B 4.S.C

1.M.D

1.M.D 1.L.C

AT-1

null

CIP-004-6 R1

8-101 8-103 8-307

2.1 2.3

null

5.7 5.10

AT-1

null

7100(a) 7100(b)

null

500.14

Sec 4(2)(b)(ii)(A)(4)

null

38-99-20(D)(5)

null

Sec 6

AT-1

null

§ 2447(b)(2)(A) § 2447(c)(8)

3.2.1(3) 3.4.7(49)

Art 13.6

null

Art 32.1 Art 32.2 Art 32.4

Article 21.2(g)

null

Sec 14 Sec 15

Art 16

null

4.9

HR-03 DEV-04

null

20.1

null

Article 11.3

null

TPC-7

3.1.6

1-10-1 1-10-5

1-8

null

Sec 4.1.e

null

8.2.3 [MP.PER.3] 8.2.4 [MP.PER.4]

null

B6.a B6.b

B6

null

0720 0735 0252

null

4.5.2 4.5.2.7 4.5.2.8 7.2.2 7.2.2.19.PB

null

9.1.4.C.01

null

3.6.1 3.6.4 6.1.5

null

6.7

null

1.7 1.8 1.9

3.1.7

null

x

NAIC

null

x

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

NT-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Security Awareness & Training

Cybersecurity & Data Privacy Awareness Training

SAT-02

Mechanisms exist to provide all employees and contractors appropriate awareness education and training that is relevant for their job function.

null

E-SAT-02

Does the organization provide all employees and contractors appropriate awareness education and training that is relevant for their job function?

8

Protect

X

null

There is no evidence of a capability to provide all employees and contractors appropriate awareness education and training that is relevant for their job function.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

Security Awareness & Training (SAT) 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 provide all employees and contractors appropriate awareness education and training that is relevant for their job function.

null

CC2.2-POF8

null

14.3 14.7 14.8

null

HRS-11 HRS-13

TRN-02

SO7

null

7.3

7.4 7.4(a) 7.4(b) 7.4(c) 7.4(d)

7.2.2

6.3

7.2.2

null

6.4.2.2

null

OR-3.1 OR-3.2

Sec 4(D)(5)

null

GV.AT-P1 GV.AT-P2 GV.AT-P3

null

AT-2

null

AT-2

null

3.2.1

3.1.22.a 3.2.1.a 3.2.1.a.1 3.2.1.a.2 3.2.1.a.3 3.2.1.b

3.2.1[a] 3.2.1[b] 3.2.1[c] 3.2.1[d]

null

3.2.1e

null

PR.AT-01

null

12.6

8.3.8 9.5.1 9.5.1.3 12.6.3 12.6.3.1

null

8.3.8 12.6.3.1

9.5.1 9.5.1.3

8.3.8 9.5.1 9.5.1.3 12.6.3.1

12.6.3.1

8.3.8 9.5.1 9.5.1.3 12.6.3 12.6.3.1

9.5.1 9.5.1.3

C.6.1

7.2

8.2.3

null

WORKFORCE-2.A.MIL1 WORKFORCE-2.B.MIL2 WORKFORCE-2.C.MIL2 WORKFORCE-2.D.MIL2 WORKFORCE-2.E.MIL3 WORKFORCE-2.F.MIL3 WORKFORCE-2.G.MIL3

GG2.GP5 OTA:SG2.SP1

4.3 4.4

5.2.1 5.2.1.1 5.2.1.2 5.2.1.3 5.2.1.4

null

AT.L2-3.2.1

AT.L2-3.2.1 TBD - 3.2.1e

null

AT.L2-3.2.1

AT.L2-3.2.1 AT.L3-3.2.1e

AT-2

null

AT-2

null

314.4(e)(1)

null

1.S.B 4.S.C

1.M.D

1.M.D 1.L.C

2.D.1 AT-2

null

8-101

2.1 2.3

6.1

null

5.7 5.10

AT-2

null

17.04(8) 17.03(2)(b)(1)

null

Sec 4(2)(b)(ii)(A)(4)

null

38-99-20(D)(5)

null

AT-2

null

§ 2447(b)(2)(A) § 2447(c)(8)

3.4.7(49)

Art 13.6

null

HR-03 DEV-04

null

20.2

null

TPC-7

null

1-10-2 1-10-3 1-10-3-1 1-10-3-2 1-10-3-3 1-10-3-4

1-8

null

8.2.3 [MP.PER.3] 8.2.4 [MP.PER.4]

null

B6.b

B6

null

0252 1146 0824

null

4.5.2 4.5.3 4.5.3.1 7.2.2 7.2.2.19.PB

null

9.1.5.C.01 9.1.5.C.02 9.1.6.C.01 9.1.6.C.02

null

3.6.1

null

1.8 1.9

null

x

NAIC MA 201 CMR 17

null

x

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

NT-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Simulated Cyber Attack Scenario Training

SAT-02.1

Mechanisms exist to include simulated actual cyber-attacks through practical exercises that are aligned with current threat scenarios.

null

E-SAT-03

Does the organization include simulated actual cyber-attacks through practical exercises that are aligned with current threat scenarios?

3

Protect

null

X

null

There is no evidence of a capability to include simulated actual cyber-attacks through practical exercises that are aligned with current threat scenarios.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

Security Awareness & Training (SAT) 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 include simulated actual cyber-attacks through practical exercises that are aligned with current threat scenarios.

null

SO6

null

AT-2(1)

null

AT-2(1) AT-6

null

AT-2(1)

null

AT-2(1)

null

AT-2(1)

null

3.2.2e

null

K.16

null

TBD - 3.2.2e

null

AT.L3-3.2.2e

null

1.S.C

null

AT-2(1) AT-6

null

B6.b

null

x

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-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

Security Awareness & Training

Social Engineering & Mining

SAT-02.2

Mechanisms exist to include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.

null

E-SAT-02

Does the organization include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining?

5

Protect

null

X

null

There is no evidence of a capability to include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

Security Awareness & Training (SAT) 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 include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.

null

9.0 14.2

14.2

null

OR-3.2

null

AT-2(3)

null

AT-2(3)

null

AT-2(3)

null

AT-2(3)

null

AT-2(3)

null

3.2.1e

null

12.6.3.1

null

12.6.3.1

null

12.6.3.1

null

E.1.6.2

null

TBD - 3.2.1e

null

AT.L3-3.2.1e

null

AT-2(3)

null

AT-2(3)

null

AT-2(3)

null

6.1

null

5.10

null

20.4

null

1-10-3

null

B6.b

null

0817

null

1.8 1.9

null

x

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-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1 R-SA-2

null

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-GV-1

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Role-Based Cybersecurity & Data Privacy Training

SAT-03

Mechanisms exist to provide role-based cybersecurity & data privacy-related training: ▪ Before authorizing access to the system or performing assigned duties; ▪ When required by system changes; and ▪ Annually thereafter.

null

E-SAT-05

Does the organization provide role-based cybersecurity & data privacy-related training: ▪ Before authorizing access to the system or performing assigned duties; ▪ When required by system changes; and ▪ Annually thereafter?

8

Protect

null

X

null

There is no evidence of a capability to provide role-based cybersecurity & data privacy-related training: ▪ Before authorizing access to the system or performing assigned duties; ▪ When required by system changes; and ▪ Annually thereafter.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

Security Awareness & Training (SAT) 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 provide role-based cybersecurity & data privacy-related training: ▪ Before authorizing access to the system or performing assigned duties; ▪ When required by system changes; and ▪ Annually thereafter.

null

CC1.4-POF7

null

14.3 14.4 14.7 14.8 16.9

14.3 14.4 14.7 14.8

14.3 14.4 14.7 14.8 16.9

null

HRS-11 HRS-12 HRS-13

TRN-01 TRN-02

SO6

null

7.3

null

7.2.1 7.2.2

5.4 6.3

7.2.1 7.2.2

null

OR-3.1 OR-3.2

Sec 4(D)(5)

GOVERN 2.2

GV.AT-P1 GV.AT-P2 GV.AT-P3

PO.2.2

null

AT-3

AT-3 AT-3(2)

AT-3

null

AT-3

null

AT-3 AT-3(2)

AT-3

null

AT-3 AT-3(2)

null

3.2.2

3.1.22.a 3.2.1.a.1 3.2.2.a 3.2.2.a.1 3.2.2.a.2 3.2.2.b

3.2.2[a] 3.2.2[b] 3.2.2[c]

A.03.02.02.a.01[01] A.03.02.02.a.01[02] A.03.02.02.a.01[03] A.03.02.02.a.02 A.03.02.02.b[01] A.03.02.02.b[02] A.03.02.02.ODP[01]

null

PO.2 PO.2.2 PO.2.3

PR.AT-2 PR.AT-4 PR.AT-5

PR.AT-02

null

12.6.1

6.2.2 8.3.8 9.5.1 9.5.1.3 12.6.3 12.6.3.1 12.6.3.2

null

6.2.2 8.3.8 12.6.3.1

9.5.1 9.5.1.3

6.2.2 8.3.8 9.5.1 9.5.1.3 12.6.3.1

12.6.3.1

6.2.2 8.3.8 9.5.1 9.5.1.3 12.6.3.1 12.6.3.2

9.5.1 9.5.1.3

E.1.6.4

7.2

2.1.3 8.2.3

null

WORKFORCE-2.E.MIL3

GG2.GP5 OTA:SG4.SP1 OTA:SG4.SP3

4.3 4.4

5.2.1 5.2.1.1 5.2.1.2 5.2.1.3 5.2.1.4 5.2.2

null

AT.L2-3.2.2

null

AT.L2-3.2.2

AT-3

null

§ 11.10 § 11.10(i)

AT-3

null

D1.TC.Tr.E.3 D1.R.St.E.3

null

314.4(e)(1)

164.530(b) 164.530(b)(1) 164.530(b)(2)

1.S.B 4.S.C

1.M.D

1.M.D 1.L.C

2.D.1 2.D.2.1 2.D.2.2 AT-3

null

CIP-004-6 R2

8-101 8-103 8-104

2.1 2.2 2.3

6.1

null

5.10

AT-3

null

7100(a) 7100(b)

null

17.04(8)

null

Sec 4(2)(b)(ii)(A)(4)

622(2)(d)(A)(iv

38-99-20(D)(5)

null

AT-3

null

§ 2447(b)(2)(A) § 2447(c)(8)

3.2.1(3) 3.4.7(49)

Art 13.6

null

DEV-04

null

20.2 25.3

null

Article 11.3

null

TPC-7

3.1.6 3.1.7

1-10-3 1-10-3-1 1-10-3-2 1-10-3-3 1-10-3-4 1-10-4 1-10-4-1 1-10-4-2 1-10-4-3

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

null

8.2.3 [MP.PER.3] 8.2.4 [MP.PER.4]

null

B6.a B6.b

null

1146 1740

null

Article 27

null

4.5.2 4.5.3 4.5.3.1 7.2.1 7.2.2 7.2.2.19.PB

null

9.1.6.C.01 9.1.6.C.02 9.1.6.C.03

null

3.6.2 3.6.3 6.1.5

null

1.7 1.8 1.9

null

x

NAIC MA 201 CMR 17 OR 6464A

null

x

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Practical Exercises

SAT-03.1

Mechanisms exist to include practical exercises in cybersecurity & data privacy training that reinforce training objectives.

null

E-SAT-03

Does the organization include practical exercises in cybersecurity & data privacy training that reinforce training objectives?

3

Protect

null

X

null

There is no evidence of a capability to include practical exercises in cybersecurity & data privacy training that reinforce training objectives.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties. • Administrative processes, physical controls and technologies exist to simulate actual cyber-attacks through practical exercises that reinforce training objectives.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Administrative processes, physical controls and technologies exist to simulate actual cyber-attacks through practical exercises that reinforce training objectives.

Security Awareness & Training (SAT) 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 include practical exercises in cybersecurity & data privacy training that reinforce training objectives.

null

14.9

null

14.9

null

AT-3(3)

null

AT-3(3)

null

AT-3(3)

null

3.2.2e

null

K.15.1

null

OTA:SG2.SP3

null

AT.L3-3.2.2e

null

AT-3(3)

null

AT-3(3)

null

1.M.D

null

B6.b

null

3.1.7

null

R-AM-3 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-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1 R-SA-2

null

R-AM-3

null

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-GV-1

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Suspicious Communications & Anomalous System Behavior

SAT-03.2

Mechanisms exist to provide training to personnel on organization-defined indicators of malware to recognize suspicious communications and anomalous behavior.

null

Does the organization provide training to personnel on organization-defined indicators of malware to recognize suspicious communications and anomalous behavior?

9

Protect

null

X

null

There is no evidence of a capability to provide training to personnel on organization-defined indicators of malware to recognize suspicious communications and anomalous behavior.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

Security Awareness & Training (SAT) 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 provide training to personnel on organization-defined indicators of malware to recognize suspicious communications and anomalous behavior.

null

14.6

null

LOG-05

MON-10 MON-11

null

7.2.2

null

OR-3.2

null

AT-3(4)

null

AT-2(4) AT-2(5)

null

AT-2(4) AT-2(5)

null

AT-2(4)

null

AT-2(4) AT-2(5)

null

AT-2(4) AT-2(5)

null

3.2.1e

null

11.5 11.5.1 11.5.1.1

null

11.5.1

null

11.5.1

11.5.1 11.5.1.1

null

E.1.6.2

2.9

null

TBD - 3.2.1e

null

AT.L3-3.2.1e

null

AT-3(4)

null

AT-3(4)

null

8.L.D

AT-2(4)

null

5.10

null

§ 2447(c)(4)

null

1-8-1 1-8-2 1-8-3 2-3-1-12

null

B6.b

null

0817 0824 1740

null

7.2.2.19.PB

null

9.2.2 11.5.5 12.2.4

null

1.8 1.9

null

x

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-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1 R-SA-2

null

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-GV-1

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

null

R-IR-4

R-SA-1

R-SA-2

NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-7

null

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

- Added NIST 800-53 R5 mapping for AT-2(4)

Security Awareness & Training

Sensitive Information Storage, Handling & Processing

SAT-03.3

Mechanisms exist to ensure that every user accessing a system processing, storing or transmitting sensitive information is formally trained in data handling requirements.

null

Does the organization ensure that every user accessing a system processing, storing or transmitting sensitive information is formally trained in data handling requirements?

9

Protect

null

X

null

There is no evidence of a capability to ensure that every user accessing a system processing, storing or transmitting sensitive information is formally trained in data handling requirements.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

Security Awareness & Training (SAT) 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 that every user accessing a system processing, storing or transmitting sensitive information is formally trained in data handling requirements.

null

CC2.2-POF9

null

14.5

null

DSP-17 HRS-12 HRS-13

TRN-02

null

1.1.1 1.2.10

null

7.2.2

null

OR-3.1 OR-3.2

null

AR-5

null

AT-3(5)

null

3.1.22.a 3.2.1.a.1 3.2.2.a 3.2.2.a.1 3.2.2.a.2 3.2.2.b

null

3.2.1e

null

PR.AT-02

null

1.5 2.5 3.7 4.3 5.4 6.7 7.3 8.8 9.10 10.9 11.6 12.6 12.6.1 12.6.2 12.8.3 12.8.5 12.10.4

9.5.1 9.5.1.3 12.6.3.1 12.6.3.2

null

12.6.3.1

9.5.1 9.5.1.3

9.5.1 9.5.1.3 12.6.3.1

12.6.3.1

9.5.1 9.5.1.3 12.6.3.1 12.6.3.2

9.5.1 9.5.1.3

E.1.6

7.2

2.1.3 8.2.3

null

WORKFORCE-2.C.MIL2

OTA:SG1.SP2 OTA:SG4.SP1

4.3 4.4

5.1.1.1 5.8.1

null

AT.L3-3.2.1e

AR-5

null

314.4(e)(1)

null

2.D.2.1 2.D.2.2

null

CIP-004-6 R2

null

2.1 2.2

null

5.10

null

Sec 4(2)(b)(ii)(A)(4)

null

§ 2447(c)(8)

null

20.3

null

Article 11.3

null

3.1.7

1-10-4-2

null

B6.b

null

0831 1059

null

4.5.3 4.5.3.1 7.2.2.19.PB

null

3.6.2 3.6.3 6.1.5

null

1.7

null

x

null

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

NT-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Vendor Cybersecurity & Data Privacy Training

SAT-03.4

Mechanisms exist to incorporate vendor-specific security training in support of new technology initiatives.

null

E-SAT-04 E-SAT-05

Does the organization incorporate vendor-specific security training in support of new technology initiatives?

7

Protect

null

X

null

There is no evidence of a capability to incorporate vendor-specific security training in support of new technology initiatives.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties. • Business process owners are required to incorporate vendor-specific security training in support of new technology initiatives.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Business process owners are required to incorporate vendor-specific security training in support of new technology initiatives.

Security Awareness & Training (SAT) 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 incorporate vendor-specific security training in support of new technology initiatives.

null

TRN-02

null

I.1.6

null

CIP-004-6 R2

null

DEV-04

null

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Privileged Users

SAT-03.5

Mechanisms exist to provide specific training for privileged users to ensure privileged users understand their unique roles and responsibilities

null

E-SAT-05

Does the organization provide specific training for privileged users to ensure privileged users understand their unique roles and responsibilities

9

Protect

null

X

null

There is no evidence of a capability to provide specific training for privileged users to ensure privileged users understand their unique roles and responsibilities

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties. • Privileged users receive formal security and/ or data privacy awareness training to ensure they understand their unique roles and responsibilities.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Privileged users receive formal security and/ or data privacy awareness training to ensure they understand their unique roles and responsibilities.

Security Awareness & Training (SAT) 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 provide specific training for privileged users to ensure privileged users understand their unique roles and responsibilities

null

CC2.2-POF9

null

IAM-09

null

7.2.2

null

OR-3.2

null

GOVERN 2.2

null

3.2.1e

null

PR.AT-2 PR.AT-5

PR.AT-02

null

P.3

7.2

null

4.3 4.4

null

AT.L3-3.2.1e

null

§ 11.10 § 11.10(i)

null

D1.TC.Tr.E.3 D1.R.St.E.3

null

314.4(e)(3)

null

CIP-004-6 R2

null

2.2

null

1-10-4-1

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

null

B6.b

null

1565

null

7.2.2.19.PB

null

6.1.5

null

1.7

null

x

null

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

NT-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Cyber Threat Environment

SAT-03.6

Mechanisms exist to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.

null

E-SAT-04

Does the organization provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations?

8

Identify

null

X

null

There is no evidence of a capability to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.

SP-CMM1 is N/A, since a structured process is required to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.

null

CC2.2-POF8

null

OR-3.2

null

GOVERN 2.2

null

AT-2(6)

null

AT-2(6)

null

AT-2(6)

null

AT-2(6)

null

3.2.1.a.1 3.2.1.a.2 3.2.1.a.3 3.2.1.b 3.2.2.a 3.2.2.a.1 3.2.2.a.2 3.2.2.b

null

A.03.02.01.a.03[01] A.03.02.01.a.03[02] A.03.02.01.a.03[03] A.03.02.01.a.03[04] A.03.02.01.a.03[05] A.03.02.01.a.03[06]

3.2.1e 3.2.2e

null

PR.AT-02

null

9.5.1 9.5.1.3 12.6.3 12.6.3.1 12.6.3.2

null

12.6.3.1

9.5.1 9.5.1.3

9.5.1 9.5.1.3 12.6.3.1

12.6.3.1

9.5.1 9.5.1.3 12.6.3 12.6.3.1 12.6.3.2

9.5.1 9.5.1.3

P.3

7.2

8.2.3

null

WORKFORCE-2.C.MIL2 WORKFORCE-2.F.MIL3 WORKFORCE-2.G.MIL3

null

4.3 4.4

null

TBD - 3.2.1e

null

AT.L3-3.2.1e AT.L3-3.2.2e

null

314.4(e)(1)

null

6.1

null

Art 13.6

null

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

null

B6.a B6.b

null

1.7 1.8 1.9

null

x

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Continuing Professional Education (CPE) - Cybersecurity & Data Privacy Personnel

SAT-03.7

Mechanisms exist to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.

null

E-SAT-01 E-SAT-04

Does the organization ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities?

8

Identify

null

X

null

There is no evidence of a capability to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.

SP-CMM1 is N/A, since a structured process is required to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.

SP-CMM2 is N/A, since a well-defined process is required to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Cybersecurity and/ or data privacy personnel receive necessary Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices pertinent to their assigned roles and responsibilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.

null

CC1.4-POF7

null

E.1.5

null

314.4(e)(4)

null

B6.b

null

R-BC-1 R-BC-3 R-EX-7 R-GV-1 R-GV-4 R-SA-2

null

R-BC-1

null

R-BC-3

null

R-EX-7

R-GV-1

null

R-GV-4

null

R-SA-2

NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

null

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Continuing Professional Education (CPE) - DevOps Personnel

SAT-03.8

Mechanisms exist to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.

null

Does the organization ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats?

8

Identify

null

X

null

There is no evidence of a capability to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.

SP-CMM1 is N/A, since a structured process is required to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.

SP-CMM2 is N/A, since a well-defined process is required to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Cybersecurity and/ or data privacy personnel receive necessary Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices pertinent to their assigned roles and responsibilities. • Application development and operations (DevOps) personnel receive CPE training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.

null

CC1.4-POF7

null

6.2.2

null

6.2.2

null

6.2.2

null

6.2.2

null

L.24.2

null

B6.b

null

R-BC-1 R-BC-3 R-EX-7 R-GV-1 R-GV-4 R-SA-2

null

R-BC-1

null

R-BC-3

null

R-EX-7

R-GV-1

null

R-GV-4

null

R-SA-2

NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

null

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

Security Awareness & Training

Cybersecurity & Data Privacy Training Records

SAT-04

Mechanisms exist to document, retain and monitor individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training.

- KnowB4 (https://www.knowbe4.com/)

E-SAT-02 E-SAT-03 E-SAT-04 E-SAT-05

Does the organization document, retain and monitor individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training?

9

Protect

null

X

null

There is no evidence of a capability to document, retain and monitor individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training.

Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) 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: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.

Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o 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 with regards to cybersecurity & data privacy awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including cybersecurity & data privacy awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.

Security Awareness & Training (SAT) 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 document, retain and monitor individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training.

null

HRS-13

null

OR-3.1 OR-3.2

null

AT-4

null

AT-4

null

AT-4

null

AT-4

null

NFO - AT-4

null

12.6.2

12.6 12.6.1

null

12.6.1

D.4

null

OTA:SG2.SP2 OTA:SG4.SP2

null

5.2.3

null

AT-4

null

AT-4

null

AT-4

null

8-103 8-104

2.3

null

5.10

AT-4

null

AT-4

null

B6.b

null

R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

TDA-01

Mechanisms exist to facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs.

null

E-TDA-01 E-TDA-02 E-TDA-08

Does the organization facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs?

10

Protect

X

There is no evidence of a capability to facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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. • Project management is decentralized and generally lacks formal project management managers or broader oversight.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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 to determine prioritized and authoritative guidance for technology development and acquisition practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for technology development and acquisition. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including technology development and acquisition. • A Validated Architecture Design Review (VADR) evaluates design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs.

CC5.2

CC2.3-POF10 CC5.2-POF4

null

16.0

null

APO03.02 APO03.03 APO04.01 BAI03.02 BAI03.03 BAI03.04 DSS03.01 DSS03.02 DSS03.03 DSS03.04 DSS03.05

Principle 11

AIS-01 AIS-04

SET-06

null

RC-05-13 RQ-06-10 RQ-06-15.a RQ-06-15.b RQ-06-15.c RQ-06-16.a RQ-06-16.b RQ-06-16.c RQ-06-16.d RQ-06-17.a RQ-06-17.b

null

14.2.7

8.25 8.30

14.2.7

null

T1078, T1078.001, T1078.003, T1078.004, T1134.005, T1574.002

null

Sec 4(D)(2)(e)

MANAGE 1.0 MANAGE 2.0

null

PO.2.3

null

PL-1 SA-1 SA-4

PL-1 SA-1 SA-4 SA-23

PL-1 SA-1 SA-4

SA-23

null

PL-1 SA-1 SA-4

3.1 3.1.1 3.1.2

PL-1 SA-1

null

SA-1

PL-1 SA-1

SA-1

NFO - SA-4

3.16.1 3.17.2

null

A.03.17.02[01] A.03.17.02[02] A.03.17.02[03]

null

PO.3 PO.3.1 PO.3.2 PO.3.3

PR.DS-7

GV.SC-03 ID.RA ID.RA-09

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

null

6.2 6.2.1

null

6.2.1

null

6.2.1

null

6.2.1

null

K.1

2.8A

5.3 5.3.1

11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8

null

RISK-2.J.MIL3 ARCHITECTURE-4.A.MIL2 ARCHITECTURE-4.D.MIL3

EF:SG3.SP3 EF:SG4.SP1

null

PL-1 SA-1

null

PL-1 SA-1

null

314.4(c)(4)

null

PL-1 SA-1

null

16.2

null

PL-1 SA-1

null

Sec 4(2)(b)(ii)(B)(1)

null

38-99-20(D)(2)(e)

null

PL-1 SA-1

null

3.6.2(67) 3.6.2(74)

Art 13.7

null

Art 32.1 Art 32.2

Article 21.2(e) Article 21.3

null

Sec 14 Sec 15

Art 16

null

7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14

DEV-01

null

17.1 17.9

null

Article 11.4 Article 11.5 Article 11.6

null

2-13 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4

null

3.3.6

1-6-3 2-5-4

1-1-2

null

7.1.3 [OP.PL.3] 8.6.1 [MP.SW.1]

null

A4.a

null

0938 1780

null

14.2.7

null

16.1

null

5.3.1 5.3.2 6.1.1 6.1.2 6.1.3 6.1.4 6.1.5 6.1.6 6.1.7 6.2.1 6.2.2 6.3.1 6.3.2 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.5.1 6.5.2 6.5.3

null

4.8 4.9

2.4.4

null

x

NAIC

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-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Product Management

TDA-01.1

Mechanisms exist to design and implement product management processes to update products, including systems, software and services, to improve functionality and correct security deficiencies.

null

E-CPL-06 E-TDA-05 E-TDA-06 E-TDA-07 E-TDA-15

Does the organization design and implement product management processes to update products, including systems, software and services, to improve functionality and correct security deficiencies?

10

Protect

X

null

There is no evidence of a capability to design and implement product management processes to update products, including systems, software and services, to improve functionality and correct security deficiencies.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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. • Project management is decentralized and generally lacks formal project management managers or broader oversight.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 design and implement product management processes to update products, including systems, software and services, to improve functionality and correct security deficiencies.

null

PI1.1-POF1 PI1.1-POF2 PI1.1-POF3

null

APO03.02 APO03.03 BAI05.01 BAI05.02 BAI05.03 BAI05.04 BAI05.05 BAI05.06 BAI05.07 BAI06.01 BAI06.02 BAI06.03 BAI06.04 BAI07.01 BAI07.02 BAI07.04 BAI07.05 BAI07.06 BAI07.07 BAI07.08 BAI08.01 BAI08.02 BAI08.03 BAI08.04 DSS03.01 DSS03.02 DSS03.03 DSS03.04 DSS03.05

null

SET-05

null

CR 3.10 (7.12)

RQ-05-12 RC-05-13 RC-05-15 RC-05-16 RQ-06-01 RQ-06-05.a RQ-06-05.b RQ-06-09 RQ-06-18 RQ-06-19 RQ-06-20 RQ-06-21.a RQ-06-21.b RQ-06-21.c RQ-10-01.a RQ-10-01.b RQ-10-01.c RQ-10-02 RQ-10-03 RQ-12-01 RQ-12-02.a RQ-12-02.b RQ-12-02.c RQ-12-02.d RQ-12-03 RQ-14-02

null

MANAGE 2.0

null

PW.4 PW.4.1 RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4

null

SA-23

null

SA-23

null

PW.1 PW.1.2 PW.1.3

null

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

null

G.3

null

5.3.1 8.1.1

11.5 11.6 11.7 11.8

7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.4.1 7.4.2 8.1 8.1.1 8.1.2 8.1.3

RISK-2.J.MIL3

null

1798.91.04(a) 1798.91.04(a)(1) 1798.91.04(a)(2) 1798.91.04(a)(3) 1798.91.04(b) 1798.91.04(b)(1) 1798.91.04(b)(2)

null

3.6.2(68)

Art 13.7

null

7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14

null

17.9

null

Article 11.4 Article 11.5 Article 11.6

null

2-13-1 2-13-2 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4

null

1-1-2 4-1-1-1

null

1796 1797 1798

null

8.1.2.7.PB

null

12.1.31.C.01 12.1.32.C.01 12.1.32.C.02 12.1.32.C.03 12.1.33.C.01 12.1.34.C.01 12.1.34.C.02 12.1.35.C.01 12.1.36.C.01 12.1.37.C.01 12.4.3.C.01 12.4.4.C.01 12.4.4.C.02 12.4.4.C.03 12.4.4.C.04 12.4.4.C.05 12.4.4.C.06 12.4.5.C.01 12.4.6.C.01 12.4.7.C.01

null

5.8.1 5.8.2 7.6.1 7.6.2 14.4.1 14.4.2 14.4.3

null

x

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-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-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Integrity Mechanisms for Software / Firmware Updates

TDA-01.2

Mechanisms exist to utilize integrity validation mechanisms for security updates.

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

E-TDA-15

Does the organization utilize integrity validation mechanisms for security updates?

5

Protect

null

X

There is no evidence of a capability to utilize integrity validation mechanisms for security updates.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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.

Technology Development & Acquisition (TDA) 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

CCM-06 IAM-22

null

PR.DS-P6

null

A08:2021

null

I.3.11

null

11.6 11.7 11.8

null

x

null

x

null

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

R-AC-1

null

R-AC-3

R-AC-4

null

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

null

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

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

Technology Development & Acquisition

Malware Testing Prior to Release

TDA-01.3

Mechanisms exist to utilize at least one (1) malware detection tool to identify if any known malware exists in the final binaries of the product or security update.

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

null

Does the organization utilize at least one (1) malware detection tool to identify if any known malware exists in the final binaries of the product or security update?

9

Protect

null

X

There is no evidence of a capability to utilize at least one (1) malware detection tool to identify if any known malware exists in the final binaries of the product or security update.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Administrative processes exist to enable use of at least one (1) malware detection tool to identify if any known malware exists in the final binaries of any product or security update the organization creates.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Administrative processes exist to enable use of at least one (1) malware detection tool to identify if any known malware exists in the final binaries of any product or security update the organization creates.

Technology Development & Acquisition (TDA) 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.

Technology Development & Acquisition (TDA) 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

TVM-02

null

SAR 3.2 (12.3.1)

null

T.3.1

null

14.1 14.2

null

x

null

x

null

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

R-AC-1

null

R-AC-3

R-AC-4

null

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

null

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

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

Technology Development & Acquisition

Minimum Viable Product (MVP) Security Requirements

TDA-02

Mechanisms exist to ensure risk-based technical and functional specifications are established to define a Minimum Viable Product (MVP).

null

E-TDA-06

Does the organization ensure risk-based technical and functional specifications are established to define a Minimum Viable Product (MVP)?

9

Protect

X

There is no evidence of a capability to ensure risk-based technical and functional specifications are established to define a Minimum Viable Product (MVP).

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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. • Project management is decentralized and generally lacks formal project management managers or broader oversight.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 risk-based technical and functional specifications are established to define a Minimum Viable Product (MVP).

CC5.2

PI1.1-POF1 PI1.1-POF2 PI1.1-POF3

null

Principle 11

null

SDV-07

null

14.2.9

8.25 8.29 8.30

14.2.9

null

SA-4

null

SA-4

null

SA-4

null

SA-4

NFO - SA-4

null

A.03.16.01 A.03.16.01.ODP[01] A.03.16.03.ODP[01]

null

PO.1 PO.1.1 PO.1.2 PO.1.3

null

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

null

C.1.4

2.8A 2.9 2.10

5.3.1 8.1.1

4.1 5.1 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8

7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4

null

EXD:SG3.SP4 RTSE:SG1.SP1 RTSE:SG1.SP2 RTSE:SG1.SP3 RTSE:SG1.SP4 RTSE:SG1.SP5

null

SA-4

null

SA-4

null

SA-4

null

8-302 8-613

null

1798.91.04(a) 1798.91.04(a)(1) 1798.91.04(a)(2) 1798.91.04(a)(3) 1798.91.04(b) 1798.91.04(b)(1) 1798.91.04(b)(2)

null

SA-4

null

3.6.2(68)

null

7.7

DEV-02

null

2-13-1 2-13-2 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4

null

14.2.9

null

5.3.3

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-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-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Ports, Protocols & Services In Use

TDA-02.1

Mechanisms exist to require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use.

- Ports, Protocols & Services (PPS)

E-CPL-06 E-TDA-07

Does the organization require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use?

8

Protect

null

X

There is no evidence of a capability to require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use.

SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use.

null

12.6

null

12.6

null

SA-4(9)

null

SA-4(9)

null

SA-4(9)

null

SA-4(9)

null

NFO - SA-4(9)

null

PO.1 PO.1.1 PO.1.2 PO.1.3

null

1.2.4

null

1.2.4

null

1.2.4

null

I.1.4.1

null

4.1

null

SA-4(9)

null

SA-4(9)

null

SA-4(9)

null

SA-4(9)

null

SA-4(9)

null

SA-4(9)

null

SA-4(9)

null

12.9 12.29

null

2-5-3-5 2-15-3-3

null

18.1.15.C.01 18.1.15.C.02 18.1.15.C.03 18.1.15.C.04

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-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-7 MT-8 MT-9 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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Information Assurance Enabled Products

TDA-02.2

Mechanisms exist to limit the use of commercially-provided Information Assurance (IA) and IA-enabled IT products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile or the cryptographic module is FIPS-validated or NSA-approved.

- FIPS 201

null

Does the organization limit the use of commercially-provided Information Assurance (IA) and IA-enabled IT products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile or the cryptographic module is FIPS-validated or NSA-approved?

2

Protect

null

X

There is no evidence of a capability to limit the use of commercially-provided Information Assurance (IA) and IA-enabled IT products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile or the cryptographic module is FIPS-validated or NSA-approved.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 limit the use of commercially-provided Information Assurance (IA) and IA-enabled IT products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile or the cryptographic module is FIPS-validated or NSA-approved.

null

SA-4(10) IA-5(11)

SA-4(7) SA-4(10) IA-2(1) IA-2(2)

null

SA-4(10) IA-2(1) IA-2(2)

null

SA-4(10) IA-2(1) IA-2(2)

null

SA-4(7)

null

SA-4(7)

NFO - SA-4(10)

null

IA-5(11)

null

SA-4(10) IA-5(11)

IA-5(11)

SA-4(10) IA-5(11)

SA-4(10)

null

IA-2(1) IA-2(2)

null

5.3

null

IA-2(1) IA-2(2)

null

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

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Development Methods, Techniques & Processes

TDA-02.3

Mechanisms exist to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.

null

E-TDA-04

Does the organization require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software?

5

Identify

X

There is no evidence of a capability to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.

SP-CMM1 is N/A, since a structured process is required to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.

null

16.1

null

16.1

null

SDV-07

null

14.2.9

8.25 8.29

14.2.9

null

CT.DM-P9 CT.DM-P10

null

SA-4(3)

null

SA-4(3) SR-3(1)

null

SA-4(3) SR-3(1)

null

SR-3(1)

null

SR-3(1)

null

3.16.1

null

PO.1 PO.1.1 PO.1.2 PO.1.3 PO.3 PO.3.1 PO.3.2 PO.3.3

null

A04:2021

null

6.2 6.2.1

null

6.2.1

null

6.2.1

null

6.2.1

null

i.1.4.2

null

5.3.1

null

ARCHITECTURE-4.B.MIL2 ARCHITECTURE-4.E.MIL3

null

3.6.2(69) 3.6.2(74)

null

8.6.1 [MP.SW.1]

null

14.2.9

null

6.1.4 6.1.5 6.1.6 6.1.7

null

x

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Pre-Established Secure Configurations

TDA-02.4

Mechanisms exist to ensure vendors / manufacturers: ▪ Deliver the system, component, or service with a pre-established, secure configuration implemented; and ▪ Use the pre-established, secure configuration as the default for any subsequent system, component, or service reinstallation or upgrade.

null

Does the organization ensure vendors / manufacturers: ▪ Deliver the system, component, or service with a pre-established, secure configuration implemented; and ▪ Use the pre-established, secure configuration as the default for any subsequent system, component, or service reinstallation or upgrade?

8

Protect

null

X

There is no evidence of a capability to ensure software vendors / manufacturers: ▪ Deliver the system, component, or service with pre-established security configurations implemented; and ▪ Use the pre-established security configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

SP-CMM1 is N/A, since a structured process is required to ensure software vendors / manufacturers: ▪ Deliver the system, component, or service with pre-established security configurations implemented; and ▪ Use the pre-established security configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure software vendors / manufacturers: ▪ Deliver the system, component, or service with pre-established security configurations implemented; and ▪ Use the pre-established security configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure software vendors / manufacturers: ▪ Deliver the system, component, or service with pre-established security configurations implemented; and ▪ Use the pre-established security configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

null

CR 7.6 (11.8.1)

null

SA-4(5)

null

SA-4(5)

null

SA-4(5)

null

SA-4(5)

null

SA-4(5)

null

3.16.1

null

PW.1 PW.1.3

null

V.4.3 V.4.4 V.4.5

null

ARCHITECTURE-4.C.MIL2

null

SA-4(5)

null

SA-4(5)

null

3.6.2(69)

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Identification & Justification of Ports, Protocols & Services

TDA-02.5

Mechanisms exist to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions.

null

E-CPL-06 E-TDA-07

Does the organization require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions?

8

Identify

null

X

There is no evidence of a capability to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions.

SP-CMM1 is N/A, since a structured process is required to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions.

SP-CMM2 is N/A, since a well-defined process is required to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions.

null

1.2.5

null

1.2.5

null

1.2.5

null

1.2.5

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-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

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

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

Technology Development & Acquisition

Insecure Ports, Protocols & Services

TDA-02.6

Mechanisms exist to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions.

null

Does the organization mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions?

9

Protect

null

X

There is no evidence of a capability to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions.

SP-CMM1 is N/A, since a structured process is required to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions.

SP-CMM2 is N/A, since a well-defined process is required to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions.

null

1.2.6 2.2.5

null

1.2.6 2.2.5

null

1.2.6

2.2.5

1.2.6 2.2.5

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-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

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

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

Technology Development & Acquisition

Cybersecurity & Data Privacy Representatives For Product Changes

TDA-02.7

Mechanisms exist to include appropriate cybersecurity & data privacy representatives in the product feature and/or functionality change control review process.

null

Does the organization include appropriate cybersecurity & data privacy representatives in the product feature and/or functionality change control review process?

10

Identify

X

null

There is no evidence of a capability to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.

SP-CMM1 is N/A, since a structured process is required to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.

SP-CMM2 is N/A, since a well-defined process is required to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.

null

RC-05-13

null

SA-10(7)

null

SA-10(7)

null

ARCHITECTURE-4.F.MIL3

null

SA-10(7)

null

3.6.2(69)

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-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Commercial Off-The-Shelf (COTS) Security Solutions

TDA-03

Mechanisms exist to utilize only Commercial Off-the-Shelf (COTS) security products.

null

Does the organization utilize only Commercial Off-the-Shelf (COTS) security products?

5

Protect

null

X

There is no evidence of a capability to utilize only Commercial Off-the-Shelf (COTS) security products.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 only Commercial Off-the-Shelf (COTS) security products.

null

SA-4(6)

null

SA-4(6)

null

SA-4(6)

null

3.16.1

null

PW.4 PW.4.1 PW.4.2 PW.4.4

null

5.3.3 6.1.3

null

x

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

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Supplier Diversity

TDA-03.1

Mechanisms exist to obtain cybersecurity & data privacy technologies from different suppliers to minimize supply chain risk.

- Supplier diversity

null

Does the organization obtain cybersecurity & data privacy technologies from different suppliers to minimize supply chain risk?

3

Protect

null

X

There is no evidence of a capability to obtain cybersecurity & data privacy technologies from different suppliers to minimize supply chain risk.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 obtain cybersecurity & data privacy technologies from different suppliers to minimize supply chain risk.

null

PL-8(2)

null

PL-8(2) SR-3(1)

null

PL-8(2) SR-3(1)

null

PL-8(2) SR-3(1)

null

PL-8(2) SR-3(1)

null

I.1.16

null

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

null

R-AM-3

null

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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Documentation Requirements

TDA-04

Mechanisms exist to obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e.g., privileged) functions.

null

E-CPL-06 E-TDA-06 E-TDA-10

Does the organization obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e?g?, privileged) functions?

8

Protect

null

X

There is no evidence of a capability to obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e.g., privileged) functions.

SP-CMM1 is N/A, since a structured process is required to obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e.g., privileged) functions.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e.g., privileged) functions.

null

IVS-08

null

RQ-06-11 RQ-06-12 RQ-06-14 RQ-06-16 RQ-06-17 RQ-06-18 RQ-06-21 RQ-06-21.c RQ-06-22

null

SA-5

null

SA-5

null

SA-5

null

SA-5

null

SA-5

NFO - SA-5

null

PO.1 PO.1.1 PO.1.2 PO.1.3

null

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

null

4.1 5.1 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9

null

TM:SG4.SP2

null

SA-5

null

SA-5

null

SA-5

null

8-202 8-320 8-610

null

SA-5

null

SA-5

null

3.6.2(73)

null

DEV-02

null

17.6 17.10

null

1-1-2

null

1798

null

3.4.10.C.01 3.4.10.C.02

null

6.1.4

null

x

null

x

R-AM-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-3 R-SA-1

null

R-AM-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-3

null

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Functional Properties

TDA-04.1

Mechanisms exist to require vendors/contractors to provide information describing the functional properties of the security controls to be utilized within systems, system components or services in sufficient detail to permit analysis and testing of the controls.

- SSAE-16 SOC2 report

E-CPL-06 E-TDA-06 E-TDA-10 E-TDA-15

Does the organization require vendors/contractors to provide information describing the functional properties of the security controls to be utilized within systems, system components or services in sufficient detail to permit analysis and testing of the controls?

8

Protect

null

X

There is no evidence of a capability to require vendors/contractors to provide information describing the functional properties of the security controls to be utilized within systems, system components or services in sufficient detail to permit analysis and testing of the controls.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 require vendors/contractors to provide information describing the functional properties of the security controls to be utilized within systems, system components or services in sufficient detail to permit analysis and testing of the controls.

null

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

null

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

null

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

null

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

null

NFO - SA-4(1) NFO - SA-4(2)

null

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

null

B.1.1.1

null

4.1 5.1 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9

null

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

null

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

null

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

null

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

null

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

null

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

null

SA-4(1)

null

SA-4(1)

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

null

3.6.2(69)

null

DEV-02

null

17.6 17.10

null

1798

null

x

null

x

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-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-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

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-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Software Bill of Materials (SBOM)

TDA-04.2

Mechanisms exist to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.

null

E-TDA-12

Does the organization require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses?

9

Identify

null

X

There is no evidence of a capability to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.

SP-CMM1 is N/A, since a structured process is required to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.

SP-CMM2 is N/A, since a well-defined process is required to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • A Software Bill of Materials (SBOM) is required, for systems, applications and services, listing software packages in use, including versions and applicable licenses.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.

null

16.2 16.4

null

16.2 16.4

null

SDV-02

null

PO.1 PO.1.1 PO.1.2 PO.1.3 PS.3.2

null

6.3.2

null

1730

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

R-GV-4

null

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Developer Architecture & Design

TDA-05

Mechanisms exist to require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection.

null

E-TDA-04

Does the organization require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection?

8

Protect

null

X

There is no evidence of a capability to require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection.

SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection.

null

16.1 16.10

null

16.1 16.10

null

RQ-06-15.a RQ-06-15.b RQ-06-15.c RQ-06-16.a RQ-06-16.b RQ-06-16.c RQ-06-16.d RQ-06-17.a RQ-06-17.b RQ-06-18 RQ-06-19 RQ-06-20 RQ-06-21.a RQ-06-21.b RQ-06-21.c RQ-10-01.a RQ-10-01.b RQ-10-01.c RQ-10-02 RQ-10-03 RQ-10-04.a RQ-10-04.b RQ-10-04.c RQ-10-04.d RQ-10-04.e RQ-10-04.f RQ-10-05 RQ-10-06 RQ-10-07 RQ-10-08 RQ-10-09

null

8.27 8.30

null

T1078, T1078.001, T1078.003, T1078.004, T1134.005, T1482, T1574.002

null

SA-17

null

SA-17

null

SA-17

null

SA-17

null

SA-17

null

SA-17

null

3.16.1

null

3.14.1e 3.14.7e

PO.1 PO.1.1 PO.1.2 PO.1.3 PO.3 PO.3.1 PO.3.2 PO.3.3

null

A04:2021

null

6.2 6.2.1

null

6.2.1

null

6.2.1

null

6.2.1

null

G.3

null

5.3.1

5.1

null

RTSE:SG1.SP3

null

TBD - 3.14.1e TBD - 3.14.7e

null

SI.L3-3.14.1e

null

SA-17

null

SA-17

null

SA-17

null

SA-17

null

3.6.2(69)

null

DEV-02

null

17.6

null

1-6-3-4

null

6.1.5 6.2.1 6.2.2 6.3.1 6.3.2 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.5.1 6.5.2 6.5.3

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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Physical Diagnostic & Test Interfaces

TDA-05.1

Mechanisms exist to secure physical diagnostic and test interfaces to prevent misuse.

null

Does the organization secure physical diagnostic and test interfaces to prevent misuse?

5

Detect

null

X

There is no evidence of a capability to secure physical diagnostic and test interfaces to prevent misuse.

SP-CMM1 is N/A, since a structured process is required to secure physical diagnostic and test interfaces to prevent misuse.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to secure physical diagnostic and test interfaces to prevent misuse.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to secure physical diagnostic and test interfaces to prevent misuse.

null

CR 2.13 (6.15) EDR 2.13 (13.3.1) HDR 2.13 (14.3.1) NDR 2.13 (15.5.1)

null

2.2.6

null

2.2.6

null

2.2.6

null

F.1.2.8.1

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

null

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Diagnostic & Test Interface Monitoring

TDA-05.2

Mechanisms exist to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.

null

Does the organization enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces?

3

Detect

null

X

There is no evidence of a capability to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.

SP-CMM1 is N/A, since a structured process is required to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.

null

EDR 2.13 (13.3.3(1)) HDR 2.13 (14.3.3(1)) NDR 2.13 (15.5.3(1))

null

M.1.1

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

null

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Secure Coding

TDA-06

Mechanisms exist to develop applications based on secure coding principles.

- OWASP's Application Security Verification Standard (ASVS) - Mobile Application Security Verification Standard (MASVS)

E-TDA-08 E-TDA-11

Does the organization develop applications based on secure coding principles?

10

Protect

X

There is no evidence of a capability to develop applications based on secure coding principles.

SP-CMM1 is N/A, since a structured process is required to develop applications based on secure coding principles.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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.

Technology Development & Acquisition (TDA) 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.

PI1.1 PI1.2 PI1.3 PI1.4 PI1.5

PI1.2-POF1 PI1.2-POF2 PI1.2-POF3 PI1.3-POF1 PI1.3-POF2 PI1.3-POF3 PI1.3-POF4 PI1.3-POF5 PI1.4-POF1 PI1.4-POF2 PI1.4-POF3 PI1.4-POF4 PI1.5-POF1 PI1.5-POF2 PI1.5-POF3 PI1.5-POF4

null

16.0 16.1 16.5 16.10 16.11

null

16.1 16.5 16.10 16.11

APO03.02

null

AIS-04

SDV-05

null

CCSC 4 (4.5)

RQ-10-01.a RQ-10-01.b RQ-10-01.c RQ-10-02 RQ-10-03 RQ-10-04.a RQ-10-04.b RQ-10-04.c RQ-10-04.d RQ-10-04.e RQ-10-04.f RQ-10-05 RQ-10-06 RQ-10-07 RQ-10-08 RQ-10-09

null

14.2.1 14.2.5

8.25 8.26 8.27 8.28 8.30

14.2.1 14.2.5

null

6.11.2 6.11.2.1 6.11.2.5

null

T1078, T1078.001, T1078.003, T1078.004, T1213.003, T1528, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1558.004, T1574.002

TS-1.12 TS-1.13

Sec 4(D)(2)(e)

null

CT.PO-P1 CT.DM-P7 CT.DM-P8 CT.DM-P9 CT.DM-P10

PW.1 PW.1.1 PW.4 PW.4.1 PW.4.2 PW.4.3 PW.5 PW.5.1

null

SA-1 SA-15

SA-1

SA-1 SA-15

SA-1 SA-4(3) SA-15

SA-1

SA-1 SA-15

SA-4(3)

null

SA-1

SA-1 SA-15

null

SA-1 SA-15

SA-1

null

SA-1

SA-1 SA-15

NFO - SA-1

3.16.1

3.13.2[b] 3.13.2[e]

null

PO.1 PO.1.1 PO.1.2 PO.1.3 PO.3 PO.3.1 PO.3.2 PO.3.3 PW.5 PW.5.1 PW.6 PW.6.1 PW.6.2

null

PR.PS-06

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

6.3 6.3.1 6.3.2 6.5 6.5.1 6.5.2 6.5.3 6.5.4 6.5.5 6.5.6 6.5.7 6.5.8 6.5.9 6.5.10

6.2 6.2.1 6.2.4

null

6.2.1 6.2.4

null

6.2.1 6.2.4

null

6.2.1 6.2.4

null

G.2.12

2.10

5.3.1

4.1 5.1

null

CTRL:SG2.SP1 IMC:SG1.SP1 MA:SG1.SP2 MA:SG2.SP4 RTSE:SG1.SP1

null

5.10.4.5

null

SA-1

null

SA-1 SA-15

SA-1

SA-1 SA-15

SA-1

SA-1 SA-15

SA-1

SA-1 SA-15

SA-1

null

314.4(c)(4)

null

SA-1 SA-15

null

500.08

null

38-99-20(D)(2)(e)

null

SA-1

null

3.6.2(69)

null

Article 21.3

null

7.6 7.7 7.8 7.9 7.10

DEV-02 DEV-07 DEV-08

null

11.9 17.6 17.9 17.20 17.25

null

1-3-2-3 2-13-1 2-13-2 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4

TPC-60 TPC-62

null

1-6-3-1

null

1419 0401 1239 1552

null

14.2.1 14.2.1.13.PB 14.2.5

null

14.4.5.C.01

null

5.3.2 6.1.1 6.1.2 6.2.1 6.2.2 6.3.1 6.3.2 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.5.1 6.5.2 6.5.3

null

6.20

null

4.8 4.9

2.4.5

null

x

NAIC

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-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-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

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Criticality Analysis

TDA-06.1

Mechanisms exist to require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC).

- Secure Development Life Cycle (SDLC)

null

Does the organization require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC)?

9

Protect

null

X

There is no evidence of a capability to require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC).

SP-CMM1 is N/A, since a structured process is required to require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC).

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC).

PI1.1

null

SET-01

null

8.29

null

5.3.3

T1195.003, T1495, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1553, T1553.006, T1601, T1601.001, T1601.002

null

ID.BE-P3

PW.1.1

null

PM-30(1) RA-9 SA-15(3)

null

SA-15(3)

PM-30(1)

null

SA-15(3)

null

SA-15(3)

null

SA-15(3)

null

PW.1 PW.1.1

null

K.11.2

null

7.3.3

ASSET-1.C.MIL2 ASSET-1.D.MIL2 ASSET-2.C.MIL2 ASSET-2.D.MIL2

null

RA-9 SA-15(3)

null

RA-9 SA-15(3)

null

SA-15(3)

null

A4

null

21(b)

null

14.4.6.C.01 14.4.6.C.02 14.4.6.C.03

null

3.2.3

null

x

null

R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 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 R-SA-1

null

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

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

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Threat Modeling

TDA-06.2

Mechanisms exist to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.

null

E-TDA-03 E-TDA-10 E-THR-05

Does the organization perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for?

7

Identify

null

X

There is no evidence of a capability to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.

SP-CMM1 is N/A, since a structured process is required to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.

null

16.2 16.14

null

16.2

16.2 16.14

null

SDV-06

null

PM-06-08 RQ-15-02 RQ-15-03 RQ-15-04 RQ-15-05 RQ-15-06 RQ-15-07 RQ-15-08 RQ-15-09 RQ-15-10 RQ-15-11.a RQ-15-11.b RQ-15-11.c RQ-15-12.a RQ-15-12.b RQ-15-12.c RQ-15-12.d RQ-15-12.e RQ-15-13.a RQ-15-13.b RQ-15-13.c RQ-15-13.d RQ-15-14 RQ-15-15 RQ-15-16

null

PW.1.1

null

SA-15(4) SA-15(8)

null

SA-15(4) SA-15(8)

null

SA-15(4)

SA-15(4) SA-15(8)

null

PW.1 PW.1.1

null

A04:2021 A08:2021

null

G.3.2

7.4A

null

3.6.2(69)

null

1238

null

14.4.6.C.01 14.4.6.C.02 14.4.6.C.03

null

3.1.6

null

R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 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 R-SA-1

null

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

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

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Software Assurance Maturity Model (SAMM)

TDA-06.3

Mechanisms exist to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.

null

E-TDA-04 E-TDA-11

Does the organization utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services?

9

Identify

null

X

null

There is no evidence of a capability to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.

SP-CMM1 is N/A, since a structured process is required to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.

SP-CMM2 is N/A, since a well-defined process is required to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.

null

16.1 16.5 16.11

null

16.1 16.5 16.11

null

SDV-03

null

TS-1.13

null

PW.1 PW.1.1 PW.4.2 PW.4.3 PW.5 PW.5.1 PW.5.2

null

PW.1 PW.1.1 PW.1.2 PW.1.3 PW.6 PW.6.1 PW.6.2 RV.1 RV.1.1 RV.1.2 RV.1.3

null

A04:2021 A08:2021

null

6.2.2

null

6.2.2

null

6.2.2

null

6.2.2

null

G.2.18

null

8.6.1 [MP.SW.1]

null

6.1.1 6.1.2 6.2.1 6.2.2 6.3.1 6.3.2 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.5.1 6.5.2 6.5.3 7.6.1 7.6.2

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

R-GV-4

null

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Supporting Toolchain

TDA-06.4

Automated mechanisms exist to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.

null

Does the organization use automated mechanisms to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle?

6

Identify

null

X

There is no evidence of a capability to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.

SP-CMM1 is N/A, since a structured process is required to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.

SP-CMM2 is N/A, since a well-defined process is required to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.

null

RC-05-15

null

PO.3 PO.3.1 PO.3.2 PO.3.3 PW.6 PW.6.1 PW.6.2

null

PO.3 PO.3.1 PO.3.2 PO.3.3

null

J.3.2

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

R-GV-4

null

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

null

Technology Development & Acquisition

Software Design Review

TDA-06.5

Mechanisms exist to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.

null

E-TDA-05

Does the organization have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed?

10

Detect

null

X

There is no evidence of a capability to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.

SP-CMM1 is N/A, since a structured process is required to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.

SP-CMM2 is N/A, since a well-defined process is required to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • An independent software engineer reviews the software design to confirm that it meets all of the security requirements and satisfactorily addresses any identified risks.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.

null

16.2 16.7 16.12

null

16.2 16.7

16.2 16.7 16.12

null

RQ-10-10.a RQ-10-10.b RQ-10-10.c RQ-10-10.d RQ-10-11 RQ-10-12 RQ-10-13 RQ-11-01.a RQ-11-01.b RQ-11-01.c RQ-11-01.d RQ-11-02

null

PW.2 PW.2.1

null

PO.4 PO.4.1 PO.4.2 PW.1 PW.1.1 PW.1.2 PW.1.3 PW.2 PW.2.1 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2 RV.1 RV.1.1 RV.1.2 RV.1.3

null

6.2.3

null

6.2.3

null

I.2.5.3

null

3.6.2(69)

null

8.6.2 [MP.SW.2]

null

5.7.4 6.1.1 6.1.2 6.1.3 6.1.4 6.1.6 6.1.7

null

3.2.9

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

R-GV-4

null

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Secure Development Environments

TDA-07

Mechanisms exist to maintain a segmented development network to ensure a secure development environment.

null

Does the organization maintain a segmented development network to ensure a secure development environment?

9

Protect

X

There is no evidence of a capability to maintain a segmented development network to ensure a secure development environment.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • IT/cybersecurity architects manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • IT/cybersecurity architects manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.

Technology Development & Acquisition (TDA) 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.

Technology Development & Acquisition (TDA) 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

16.8

null

16.8

null

AIS-06 IVS-05

null

RC-05-15

null

14.2.1 14.2.6

8.25 8.31

14.2.1 14.2.6

null

6.11.2.6

null

TS-1.0 TS-2.5

null

PR.DS-P7

null

SA-3(1)

null

SA-3(1)

null

PO.5 PO.5.1 PO.5.2

null

6.5.3

null

6.5.3

null

D.21

null

5.2.2

null

7.3.5

null

3.6.2(69) 3.6.2(72)

null

DEV-02 DEV-10

null

10.1

null

1-3-2-4

TPC-73

null

1-4-1-4

null

1419 0400

null

14.2.1 14.2.1.13.PB 14.2.6

null

14.4.4.C.01

null

5.7.3

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-7 MT-1 MT-2 MT-7 MT-8 MT-9 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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Separation of Development, Testing and Operational Environments

TDA-08

Mechanisms exist to manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.

null

Does the organization manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems?

10

Protect

null

X

There is no evidence of a capability to manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • IT/cybersecurity architects manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • IT/cybersecurity architects manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.

null

16.8

null

16.8

null

AIS-06 IVS-05

null

RC-05-15

null

12.1.4

8.25 8.31

12.1.4

null

6.9.1.4

null

TS-1.0 TS-2.5

null

PR.DS-P7

null

CM-4(1)

null

CM-4(1)

null

CM-4(1)

null

CM-4(1)

null

CM-4(1)

null

CM-4(1)

3.4.5

null

PO.5 PO.5.1 PO.5.2

PR.DS-7

null

6.4.1

6.5.3 6.5.6

null

6.5.3 6.5.6

null

I.1.1

null

5.2.2

null

CM.L2-3.4.5

null

CM.L2-3.4.5

CM-4(1)

null

CM-4(1)

null

CM-4(1)

null

CM-4(1)

null

CM-4(1)

null

D3.PC.Am.B.10

null

6.S.A

null

3.6.2(69) 3.6.2(72)

null

DEV-10

null

10.1

null

1-3-2-4

TPC-73

null

2-5-3-2

1-4-1-4

null

0400

null

12.1.4

null

5.7.3

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-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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Secure Migration Practices

TDA-08.1

Mechanisms exist to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.

null

Does the organization ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment?

8

Protect

null

X

There is no evidence of a capability to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.

SP-CMM1 is N/A, since a structured process is required to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.

null

6.5.6

null

6.5.6

null

I.1.5.2 I.1.5.3

null

1-3-2-4

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

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

Technology Development & Acquisition

Cybersecurity & Data Privacy Testing Throughout Development

TDA-09

Mechanisms exist to require system developers/integrators consult with cybersecurity & data privacy personnel to: ▪ Create and implement a Security Test and Evaluation (ST&E) plan; ▪ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and ▪ Document the results of the security testing/evaluation and flaw remediation processes.

- Security Test & Evaluation (ST&E)

E-TDA-03 E-TDA-05

Does the organization require system developers/integrators consult with cybersecurity & data privacy personnel to: ▪ Create and implement a Security Test and Evaluation (ST&E) plan; ▪ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and ▪ Document the results of the security testing/evaluation and flaw remediation processes?

9

Protect

X

There is no evidence of a capability to require system developers/integrators consult with cybersecurity & data privacy personnel to: ▪ Create and implement a Security Test and Evaluation (ST&E) plan; ▪ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and ▪ Document the results of the security testing/evaluation and flaw remediation processes.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 require system developers/integrators consult with cybersecurity & data privacy personnel to: ▪ Create and implement a Security Test and Evaluation (ST&E) plan; ▪ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and ▪ Document the results of the security testing/evaluation and flaw remediation processes.

null

16.2 16.3 16.12

null

16.2 16.3

16.2 16.3 16.12

null

AIS-05 TVM-03

SDV-07 SET-04 SET-05 SET-06

null

RQ-10-10.a RQ-10-10.b RQ-10-10.c RQ-10-10.d RQ-10-11 RQ-10-12 RQ-10-13 RQ-11-01.a RQ-11-01.b RQ-11-01.c RQ-11-01.d RQ-11-02

null

14.2.7 14.2.8 14.2.9

8.25 8.29 8.30

14.2.7 14.2.8 14.2.9

null

6.11.2.7 6.11.2.8

null

T1078, T1078.001, T1078.003, T1078.004, T1134.005, T1195.003, T1213.003, T1495, T1505, T1505.001, T1505.002, T1505.004, T1528, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1547.011, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1553, T1553.006, T1558.004, T1574.002, T1601, T1601.001, T1601.002, T1612

TS-1.12

Sec 4(D)(2)(e)

null

CT.DM-P9 CT.DM-P10

PO.4 PO.4.1 PO.4.2 PW.3 PW.3.1 PW.3.2 PW.5.2 RV.1 RV.1.1 RV.1.2 RV.1.3

null

SA-11

null

SA-11

SA-11 SA-11(5) SA-11(6) SA-11(7)

SA-11

null

SA-11

SA-11(5) SA-11(6) SA-11(7)

null

SA-11

null

SA-11

null

SA-11

NFO - SA-11

null

PO.4 PO.4.1 PO.4.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2 RV.1 RV.1.1 RV.1.2 RV.1.3 RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4

null

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

6.4 6.4.4

6.2.3 6.2.3.1 6.2.4 6.5.6

null

6.2.4

null

6.2.3.1 6.2.4

null

6.2.3 6.2.3.1 6.2.4 6.5.6

null

I.2.5.13 I.2.5.14

null

5.3.1

5.1 6.10 12.1 12.2 12.3 12.4 13.1 13.2 15.1 15.2 15.3 15.4 15.5 15.6 15.7 15.8 15.9 15.10 15.11

null

RISK-2.J.MIL3 ARCHITECTURE-4.H.MIL3

EXD:SG3.SP4 RTSE:SG1.SP4 RTSE:SG1.SP5 VAR:SG2.SP2 VAR:SG2.SP3 VAR:SG3.SP1 VAR:SG4.SP1

null

SA-11

null

SA-11

null

SA-11

null

SA-11

null

SA-11

null

SA-11 SA-11(5) SA-11(6)

null

8-302

null

SA-11

null

17.03(2)(d)(B)(i)

null

38-99-20(D)(2)(e)

null

SA-11

null

SA-11

null

3.6.2(69) 3.6.2(70) 3.6.2(71)

null

7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14

DEV-02

null

11.9 17.3 17.4 17.12 17.15

null

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

TPC-72

null

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

1-4-1-2

null

8.6.2 [MP.SW.2]

null

0402 1754

null

14.2.7 14.2.8 14.2.9

null

5.7.1 5.7.2 5.7.3 5.7.4 5.7.5 5.7.6 6.1.1 6.1.2 6.1.3 6.1.4 6.1.6 6.1.7

null

4.8 4.9

3.2.9

null

x

NAIC MA 201 CMR 17

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-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-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

null

R-IR-4

R-SA-1

null

NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Continuous Monitoring Plan

TDA-09.1

Mechanisms exist to require the developers of systems, system components or services to produce a plan for the continuous monitoring of cybersecurity & data privacy control effectiveness.

null

E-TDA-03

Does the organization require the developers of systems, system components or services to produce a plan for the continuous monitoring of cybersecurity & data privacy control effectiveness?

9

Detect

null

X

There is no evidence of a capability to require the developers of systems, system components or services to produce a plan for the continuous monitoring of cybersecurity & data privacy control effectiveness.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 require the developers of systems, system components or services to produce a plan for the continuous monitoring of cybersecurity & data privacy control effectiveness.

null

16.2

null

16.2

null

SDV-07 SET-05

null

SA-4(8)

null

SA-4(8)

null

SA-4(8)

null

SA-4(8)

null

SA-4(8)

null

PW.2 PW.2.1

null

I.2.3.1

null

4.1 5.1 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9

null

SA-4(8)

null

SA-4(8)

null

SA-4(8)

null

SA-4(8)

null

17.3 17.4 17.12

null

6.1.4

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-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-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

null

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-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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Static Code Analysis

TDA-09.2

Mechanisms exist to require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis.

null

E-TDA-03

Does the organization require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis?

9

Detect

null

X

null

There is no evidence of a capability to require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis.

SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Developers of systems, system components or services are required to employ static code analysis tools to identify and remediate common flaws, documenting the results of the analysis before the application is cleared for production usage.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Developers of systems, system components or services are required to employ static code analysis tools to identify and remediate common flaws, documenting the results of the analysis before the application is cleared for production usage.

Technology Development & Acquisition (TDA) 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 require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis.

null

16.12

null

16.12

null

SDV-04 SDV-07 SET-04 SET-06

null

PW.5.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2

null

SA-11(1)

null

SA-11(1)

null

SA-11(1)

null

PW.2 PW.2.1 PW.8 PW.8.1 PW.8.2

null

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

6.3 6.3.1 6.3.2

6.2.4

null

6.2.4

null

6.2.4

null

6.2.4

null

I.2.13.1

null

5.1 6.10 13.1 13.2 17.1 17.2 18.1 18.2 19.1 19.2

null

ARCHITECTURE-4.H.MIL3

null

SA-11(1)

null

SA-11(1)

null

SA-11(1)

null

SA-11(1)

null

SA-11(1)

null

SA-11(1)

null

SA-11(1)

null

SA-11(1)

null

PSS-02

null

17.3 17.14

null

1-3-2-1

TPC-72

null

1-6-3-3

null

0402

null

6.1.6

null

3.2.9

null

x

null

x

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

null

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

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

R-GV-6

R-GV-7

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

Technology Development & Acquisition

Dynamic Code Analysis

TDA-09.3

Mechanisms exist to require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis.

null

E-TDA-03

Does the organization require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis?

9

Detect

null

X

null

There is no evidence of a capability to require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis.

SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Developers of systems, system components or services are to employ dynamic code analysis tools to identify and remediate common flaws, documenting the results of the analysis before the application is cleared for production usage.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Developers of systems, system components or services are to employ dynamic code analysis tools to identify and remediate common flaws, documenting the results of the analysis before the application is cleared for production usage.

Technology Development & Acquisition (TDA) 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 require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis.

null

16.12

null

16.12

null

SDV-04 SDV-07 SET-04 SET-06

null

PW.5.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2

null

SA-11(8)

null

SA-11(8)

null

SA-11(8)

null

PW.2 PW.2.1 PW.8 PW.8.1 PW.8.2

null

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

null

6.2.4

null

6.2.4

null

6.2.4

null

6.2.4

null

I.2.11.8

null

5.1 6.10 13.1 13.2 17.1 17.2

null

ARCHITECTURE-4.H.MIL3

null

SA-11(8)

null

SA-11(8)

null

SA-11(8)

null

SA-11(8)

null

PSS-02

null

17.3 17.19

null

1-3-2-1

TPC-72

null

1-6-3-3

null

0402

null

6.1.6

null

3.2.9

null

x

null

x

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

null

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

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

R-GV-6

R-GV-7

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

Technology Development & Acquisition

Malformed Input Testing

TDA-09.4

Mechanisms exist to utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces.

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

E-TDA-03

Does the organization utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces?

7

Detect

null

X

null

There is no evidence of a capability to utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces.

SP-CMM1 is N/A, since a structured process is required to utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces.

null

SDV-07

null

PW.5.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2

null

PW.2 PW.2.1 PW.8 PW.8.1 PW.8.2

null

A03:2021

null

6.2.4

null

6.2.4

null

6.2.4

null

6.2.4

null

1.2.13.2

null

15.1 15.2 15.3 15.4 15.5 15.6 15.7 15.8 15.9 15.10 15.11

null

ARCHITECTURE-4.H.MIL3

null

§ 11.10 § 11.10(h)

null

PSS-02

null

17.3 17.24

null

TPC-72

null

1-6-3-3

null

0402

null

14.5.6.C.01

null

6.1.6

null

3.2.9

null

x

null

x

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

null

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

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

R-GV-6

R-GV-7

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

Technology Development & Acquisition

Application Penetration Testing

TDA-09.5

Mechanisms exist to perform application-level penetration testing of custom-made applications and services.

- NNT Change Tracker (https://www.newnettechnologies.com)

E-TDA-03

Does the organization perform application-level penetration testing of custom-made applications and services?

9

Detect

null

X

null

There is no evidence of a capability to perform application-level penetration testing of custom-made applications and services.

SP-CMM1 is N/A, since a structured process is required to perform application-level penetration testing of custom-made applications and services.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Security engineering, or a similar function, performs application-level penetration testing of custom-made applications and services.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Security engineering, or a similar function, performs application-level penetration testing of custom-made applications and services.

Technology Development & Acquisition (TDA) 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 perform application-level penetration testing of custom-made applications and services.

null

16.13

null

16.13

null

AIS-05 TVM-06

SDV-07 SET-02 SET-04 SET-06

null

PW.5.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2

null

SA-11(5)

null

SA-11(5)

null

PW.2 PW.2.1 PW.8 PW.8.1 PW.8.2

null

A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021

null

6.2.4

null

6.2.4

null

6.2.4

null

6.2.4

null

G.2.5

7.3A

null

ARCHITECTURE-4.H.MIL3

null

7.L.A

SA-11(5)

null

III.F.2.c

null

PSS-02

null

11.9 17.3 17.15 17.17

null

TPC-72

null

1-6-3-3

null

0402

null

14.5.6.C.01

null

6.1.6

null

3.2.9

null

x

null

x

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

null

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

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

R-GV-6

R-GV-7

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

Technology Development & Acquisition

Secure Settings By Default

TDA-09.6

Mechanisms exist to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.

null

E-TDA-03

Does the organization implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise?

9

Protect

X

There is no evidence of a capability to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.

SP-CMM1 is N/A, since a structured process is required to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.

SP-CMM2 is N/A, since a well-defined process is required to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.

null

16.1

null

16.1

null

TS-1.13

null

PW.9 PW.9.1 PW.9.2

null

PW.1 PW.1.3 PW.9 PW.9.1 PW.9.2

null

N.9

null

ARCHITECTURE-4.C.MIL2

null

1-4-1-3

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Manual Code Review

TDA-09.7

Mechanisms exist to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.

null

Does the organization require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design?

5

Detect

null

X

There is no evidence of a capability to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.

SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.

SP-CMM2 is N/A, since a well-defined process is required to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.

null

SA-11(4)

null

SA-11(4)

null

SA-11(4)

null

ARCHITECTURE-4.H.MIL3

null

SA-11(4)

null

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

null

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

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

R-GV-6

R-GV-7

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Use of Live Data

TDA-10

Mechanisms exist to approve, document and control the use of live data in development and test environments.

null

Does the organization approve, document and control the use of live data in development and test environments?

9

Protect

null

X

There is no evidence of a capability to approve, document and control the use of live data in development and test environments.

SP-CMM1 is N/A, since a structured process is required to approve, document and control the use of live data in development and test environments.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Administrative processes exist to enable the approval, documentation and controlled use of live data in development and test environments.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Administrative processes exist to enable the approval, documentation and controlled use of live data in development and test environments.

Technology Development & Acquisition (TDA) 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 approve, document and control the use of live data in development and test environments.

null

14.3.1

8.33

14.3.1

null

6.11.3 6.11.3.1

null

SA-15(9)

null

SA-3(2)

null

SA-3(2)

null

6.4 6.4.3

6.5.5

null

6.5.5

null

I.1.5 I.1.5.1

null

2.E.6.4 SA-3(2)

null

17.03(2)(d)(B)(i)

null

10.3

null

1420

null

14.3.1

null

11.1.6

null

x

MA 201 CMR 17

null

R-AC-4 R-AM-2 R-AM-3 R-BC-2 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-GV-6 R-GV-7 R-SA-1 R-SA-2

null

R-AC-4

null

R-AM-2

R-AM-3

null

R-BC-2

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

R-GV-6

R-GV-7

null

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Test Data Integrity

TDA-10.1

Mechanisms exist to ensure the integrity of test data through existing cybersecurity & data privacy controls.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)

null

Does the organization ensure the integrity of test data through existing cybersecurity & data privacy controls?

8

Protect

null

X

There is no evidence of a capability to ensure the integrity of test data through existing cybersecurity & data privacy controls.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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.

Technology Development & Acquisition (TDA) 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

PR.DS-P6

null

I.1.5.3

null

0402

null

R-AM-2 R-AM-3 R-BC-2 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-GV-6 R-GV-7 R-SA-1 R-SA-2

null

R-AM-2

R-AM-3

null

R-BC-2

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

R-GV-6

R-GV-7

null

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Product Tampering and Counterfeiting (PTC)

TDA-11

Mechanisms exist to maintain awareness of component authenticity by developing and implementing Product Tampering and Counterfeiting (PTC) practices that include the means to detect and prevent counterfeit components.

null

Does the organization maintain awareness of component authenticity by developing and implementing Product Tampering and Counterfeiting (PTC) practices that include the means to detect and prevent counterfeit components?

9

Protect

X

There is no evidence of a capability to maintain awareness of component authenticity by developing and implementing Product Tampering and Counterfeiting (PTC) practices that include the means to detect and prevent counterfeit components.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function: o Ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. o Provides governance of component authenticity by developing and implementing anti-counterfeit procedures that include the means to detect and prevent counterfeit components. o Enables the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs. o Trains personnel to detect counterfeit system components, including hardware, software and firmware. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 maintain awareness of component authenticity by developing and implementing Product Tampering and Counterfeiting (PTC) practices that include the means to detect and prevent counterfeit components.

null

16.5

null

16.5

null

SDV-02

null

CR 3.4 (7.6.3(1))

null

T1059.002, T1204.003, T1505, T1505.001, T1505.002, T1505.004, T1546.006, T1554, T1601, T1601.001, T1601.002

null

SA-12(10) SA-19

null

SR-4(3) SR-4(4) SR-10 SR-11 SR-11(3)

null

SR-10 SR-11

SR-4(3) SR-4(4) SR-11(3)

null

SR-10 SR-11

null

SR-10 SR-11 SR-11(3)

SR-10 SR-11

SR-10

SR-11

SR-10 SR-11 SR-11(3)

null

ID.RA-09

null

T.6

null

ADM:SG1.SP1

null

SR-10 SR-11

null

SR-10 SR-11

null

8-302

null

17.21

null

1790 1791 1792

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-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-7 MT-8 MT-9 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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Anti-Counterfeit Training

TDA-11.1

Mechanisms exist to train personnel to detect counterfeit system components, including hardware, software and firmware.

null

Does the organization train personnel to detect counterfeit system components, including hardware, software and firmware?

6

Protect

null

X

There is no evidence of a capability to train personnel to detect counterfeit system components, including hardware, software and firmware.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function: o Ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. o Provides governance of component authenticity by developing and implementing anti-counterfeit procedures that include the means to detect and prevent counterfeit components. o Enables the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs. o Trains personnel to detect counterfeit system components, including hardware, software and firmware. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 train personnel to detect counterfeit system components, including hardware, software and firmware.

null

SA-19(1)

null

SR-11(1)

null

SR-11(1)

null

SR-11(1)

null

SR-11(1)

null

SR-11(1)

null

T.6

null

SR-11(1)

null

SR-11(1)

null

17.21

null

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Component Disposal

TDA-11.2

[deprecated - incorporated into AST-09] Mechanisms exist to dispose of system components using organization-defined techniques and methods to prevent such components from entering the gray market.

null

[deprecated - incorporated into AST-09] Does the organization dispose of system components using organization-defined techniques and methods to prevent such components from entering the gray market?

9

Protect

null

X

There is no evidence of a capability to [deprecated - incorporated into AST-09] dispose of system components using organization-defined techniques and methods to prevent such components from entering the gray market.

N/A - deprecated - incorporated into AST-09

CC6.5

null

SA-19(3)

null

SR-12

null

SR-12

null

SR-12

3.4.14

SR-12

null

SR-12

null

MP.L1-b.1.vii

null

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

null

9.L.C

null

45.48.500 45.48.510

null

Sec. 521.052(b)

null

SR-12

null

Art 24

null

PI-03

null

15.4 17.21

null

1550 0311 1217 0315 1218 0312 0317 1219 1220 1221 0318 1534 1076 1222 1223 1225 1226

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Customized Development of Critical Components

TDA-12

Mechanisms exist to custom-develop critical system components, when Commercial Off The Shelf (COTS) solutions are unavailable.

- OWASP

null

Does the organization custom-develop critical system components, when Commercial Off The Shelf (COTS) solutions are unavailable?

8

Protect

null

X

There is no evidence of a capability to custom-develop critical system components, when COTS solutions are unavailable.

SP-CMM1 is N/A, since a structured process is required to custom-develop critical system components, when COTS solutions are unavailable.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • An application development team, or similar function, custom-develops business-critical system components, when Commercial Off The Shelf (COTS) solutions are unavailable. • Procurement contracts require system developers and integrators to provide training on the correct use and operation of the system, system component or service.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • An application development team, or similar function, custom-develops business-critical system components, when Commercial Off The Shelf (COTS) solutions are unavailable. • Procurement contracts require system developers and integrators to provide training on the correct use and operation of the system, system component or service.

Technology Development & Acquisition (TDA) 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 custom-develop critical system components, when COTS solutions are unavailable.

null

16.7 16.11

null

16.7 16.11

null

SDV-03 SDV-05

null

SA-20

null

PM-30(1) SA-20 SA-23

null

PM-30(1) SA-20 SA-23

null

SA-20

null

SA-20

null

PW.4 PW.4.1 PW.4.2 PW.4.4

null

I.1.6

null

RISK:SG3.SP1 TM:SG1.SP1 TM:SG3.SP2

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-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

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-7 MT-1 MT-2 MT-7 MT-8 MT-9 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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Developer Screening

TDA-13

Mechanisms exist to ensure that the developers of systems, applications and/or services have the requisite skillset and appropriate access authorizations.

null

Does the organization ensure that the developers of systems, applications and/or services have the requisite skillset and appropriate access authorizations?

9

Protect

null

X

There is no evidence of a capability to ensure that the developers of systems, applications and/ or services have the requisite skillset and appropriate access authorizations.

SP-CMM1 is N/A, since a structured process is required to ensure that the developers of systems, applications and/ or services have the requisite skillset and appropriate access authorizations.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 that the developers of systems, applications and/ or services have the requisite skillset and appropriate access authorizations.

null

SA-21

null

SA-21 SA-21(1)

null

SA-21

null

SA-21

null

SA-21 SA-21(1)

null

SA-21

null

SA-21 SA-21(1)

null

3.9.1e 3.9.2e

null

6.2.2

null

6.2.2

null

6.2.2

null

6.2.2

null

E.1.3.2 E.1.3.3 E.1.3.5

null

AM:SG1.SP1

null

TBD - 3.9.1e TBD - 3.9.2e

null

PS.L3-3.9.2e

null

SA-21

null

SA-21

null

CIP-004-6 R3

null

DEV-02

null

R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Developer Configuration Management

TDA-14

Mechanisms exist to require system developers and integrators to perform configuration management during system design, development, implementation and operation.

null

Does the organization require system developers and integrators to perform configuration management during system design, development, implementation and operation?

9

Protect

null

X

There is no evidence of a capability to require system developers and integrators to perform configuration management during system design, development, implementation and operation.

SP-CMM1 is N/A, since a structured process is required to require system developers and integrators to perform configuration management during system design, development, implementation and operation.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 require system developers and integrators to perform configuration management during system design, development, implementation and operation.

null

16.11

null

16.11

null

14.2.4

8.30 8.32

14.2.4

null

6.11.2.4

null

T1078, T1078.001, T1078.003, T1078.004, T1195.003, T1213.003, T1495, T1505, T1505.001, T1505.002, T1505.004, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1547.011, T1553, T1553.006, T1564.009, T1574.002, T1601, T1601.001, T1601.002

null

PW.3 PW.3.1

null

SA-10

null

SA-10

null

SA-10

null

SA-10

null

SA-10

null

SA-10

NFO - SA-10

null

PW.1 PW.1.2

PR.DS-8

null

I.2.1 I.2.2

null

TM:SG4.SP2 TM:SG4.SP3 VAR:SG2.SP2 VAR:SG2.SP3 VAR:SG3.SP1

null

SA-10

null

SA-10

null

SA-10

null

SA-10

null

SA-10

null

SA-10

null

17.03(2)(d)(B)(i)

null

SA-10

null

SA-10

null

DEV-02

null

14.2.4

null

6.1.5

null

x

MA 201 CMR 17

null

x

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

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

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-11 MT-12 MT-13 MT-14 MT-15 MT-16

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Software / Firmware Integrity Verification

TDA-14.1

Mechanisms exist to require developer of systems, system components or services to enable integrity verification of software and firmware components.

- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)

null

Does the organization require developer of systems, system components or services to enable integrity verification of software and firmware components?

8

Protect

null

X

There is no evidence of a capability to require developer of systems, system components or services to enable integrity verification of software and firmware components.

SP-CMM1 is N/A, since a structured process is required to require developer of systems, system components or services to enable integrity verification of software and firmware components.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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.

Technology Development & Acquisition (TDA) 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

16.5 16.11

null

16.5 16.11

null

CCM-06 IAM-22 IOT-03 IOT-09

SO12

null

PR.DS-P6

null

SA-10(1)

null

SA-10(1)

null

SA-10(1)

null

PW.4 PW.4.1 PW.4.2 PW.4.4

null

I.1.7.4

null

11.5 11.6 11.7

null

ARCHITECTURE-4.G.MIL3

null

SA-10(1)

null

SA-10(1)

null

SA-10(1)

null

SA-10(1)

null

SA-10(1)

null

17.20

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-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

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-7 MT-1 MT-2 MT-7 MT-8 MT-9 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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Hardware Integrity Verification

TDA-14.2

Mechanisms exist to require developer of systems, system components or services to enable integrity verification of hardware components.

null

Does the organization require developer of systems, system components or services to enable integrity verification of hardware components?

5

Protect

null

X

There is no evidence of a capability to require developer of systems, system components or services to enable integrity verification of hardware components.

SP-CMM1 is N/A, since a structured process is required to require developer of systems, system components or services to enable integrity verification of hardware components.

SP-CMM2 is N/A, since a well-defined process is required to require developer of systems, system components or services to enable integrity verification of hardware components.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require developer of systems, system components or services to enable integrity verification of hardware components.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require developer of systems, system components or services to enable integrity verification of hardware components.

null

SA-10(3)

null

SA-10(3)

null

SA-10(3)

null

SA-10(3)

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-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

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Developer Threat Analysis & Flaw Remediation

TDA-15

Mechanisms exist to require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party.

- Security Test and Evaluation (ST&E) plan

null

Does the organization require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party?

9

Protect

null

X

There is no evidence of a capability to require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party.

SP-CMM1 is N/A, since a structured process is required to require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party.

CC4.2

null

16.2

null

16.2

DSS06.04 MEA01.05

Principle 17

null

SET-04 SET-05 SET-06

null

PM-06-08 RQ-15-17.a RQ-15-17.b RQ-15-17.c RQ-15-17.d

null

10.1

null

A-5

null

SA-11(2)

null

SA-11(2)

null

SA-11(2)

null

PW.2 PW.2.1 RV.1 RV.1.1 RV.1.2 RV.1.3 RV.2 RV.2.1 RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4

null

ID.RA-01 ID.RA-06

null

6.6

6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4 12.4.2.1 A1.2.3

6.3.1

6.2.1 6.2.2 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4

null

6.3.1

6.2.1 6.2.2 6.2.3.1 6.2.4 6.3.1

6.3.1

6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4

6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4 12.4.2.1

null

I.1.7.7

null

SA-11(2)

null

SA-11(2)

null

SA-11(2)

null

SA-11(2)

null

6.11

null

SA-11(2)

null

SA-11(2)

null

3.6.2(68) 3.6.2(69) 3.6.2(70)

null

Article 21.4

null

DEV-02

null

17.13

null

1-3-2-1

null

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

null

4.7.1

null

6.1.6

null

2.7

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-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

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-7 MT-1 MT-2 MT-7 MT-8 MT-9 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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Developer-Provided Training

TDA-16

Mechanisms exist to require the developers of systems, system components or services to provide training on the correct use and operation of the system, system component or service.

null

Does the organization require the developers of systems, system components or services to provide training on the correct use and operation of the system, system component or service?

9

Protect

null

X

There is no evidence of a capability to require the developers of systems, system components or services to provide training on the correct use and operation of the system, system component or service.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Procurement contracts require system developers and integrators to provide training on the correct use and operation of the system, system component or service.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Procurement contracts require system developers and integrators to provide training on the correct use and operation of the system, system component or service.

Technology Development & Acquisition (TDA) 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 require the developers of systems, system components or services to provide training on the correct use and operation of the system, system component or service.

null

16.1

null

16.1

null

TRN-01 TRN-02

null

T1078, T1078.001, T1078.003, T1078.004, T1574.002

null

SA-16

null

SA-16

null

SA-16

null

SA-16

null

SA-16

null

SA-16

null

OTA:SG3.SP1

null

SA-16

null

SA-16

null

SA-16

null

SA-16

null

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-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

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

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Unsupported Systems

TDA-17

Mechanisms exist to prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs.

null

E-AST-09

Does the organization prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs?

10

Protect

null

X

There is no evidence of a capability to prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs.

SP-CMM1 is N/A, since a structured process is required to prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • An application development team, or similar function, provides in-house support or contract external providers for support with unsupported system components.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • An application development team, or similar function, provides in-house support or contract external providers for support with unsupported system components.

Technology Development & Acquisition (TDA) 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 prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs.

null

T1189, T1195, T1195.001, T1195.002, T1543, T1543.002

TS-4.2

null

GOVERN 1.7

null

SA-22

null

SA-22

null

SA-22

null

SA-22

null

SA-22

null

SA-22

null

3.16.2.a

null

A.03.16.02.a A.03.16.02.b

null

PW.4 PW.4.1 PW.4.2 PW.4.4

null

ID.AM-08

A06:2021

null

D.25 D.26

2.2

null

EC:SG3.SP2 TM:SG5.SP1

null

SA-22

null

SA-22

null

SA-22

null

8-302

null

SA-22

null

12.23

null

Principle 2.7 Principle 6.7

Principle 2.9 Principle 6.7

Principle 2.9 Principle 6.8

null

0304 1501 1704 0304 1501 1753

null

12.4.7.C.01

null

7.3.1 7.3.2 7.3.3

null

4.6 4.9

null

x

Lockton

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-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

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-11 MT-12 MT-13 MT-14 MT-15 MT-16

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Alternate Sources for Continued Support

TDA-17.1

Mechanisms exist to provide in-house support or contract external providers for support with unsupported system components.

null

Does the organization provide in-house support or contract external providers for support with unsupported system components?

8

Protect

null

X

There is no evidence of a capability to provide in-house support or contract external providers for support with unsupported system components.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 provide in-house support or contract external providers for support with unsupported system components.

null

SA-22(1)

null

SA-22

null

SA-22

null

SA-22

null

SA-22

null

SA-22

null

3.16.2.b

null

A.03.16.02.a A.03.16.02.b

null

SA-22

null

SA-22

null

7.4.3 [OP.EXT.3]

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-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

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-11 MT-12 MT-13 MT-14 MT-15 MT-16

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Technology Development & Acquisition

Input Data Validation

TDA-18

Mechanisms exist to check the validity of information inputs.

null

Does the organization check the validity of information inputs?

9

Protect

X

There is no evidence of a capability to check the validity of information inputs.

SP-CMM1 is N/A, since a structured process is required to check the validity of information inputs.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • An application development team, or similar function, implements a process to check the validity of information inputs.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • An application development team, or similar function, implements a process to check the validity of information inputs.

Technology Development & Acquisition (TDA) 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.

Technology Development & Acquisition (TDA) 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.

PI1.2

PI1.2-POF1 PI1.2-POF2 PI1.2-POF3

null

CR 3.5 (7.7.1)

null

T1021.002, T1021.005, T1036, T1036.005, T1048, T1048.001, T1048.002, T1048.003, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1071.004, T1080, T1090, T1090.003, T1095, T1127, T1129, T1176, T1187, T1190, T1197, T1204, T1204.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.010, T1218.011, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1530, T1537, T1546.002, T1546.006, T1546.008, T1546.009, T1546.010, T1547.004, T1547.006, T1552, T1552.005, T1553, T1553.001, T1553.003, T1553.005, T1557, T1557.001, T1557.002, T1564.003, T1564.006, T1564.009, T1570, T1572, T1574, T1574.001, T1574.006, T1574.007, T1574.008, T1574.009, T1574.012, T1599, T1599.001, T1602, T1602.001, T1602.002, T1609

null

SI-10

null

SI-10

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10

null

AC-2 AC-3 SI-3 SI-4 SI-5

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10

null

AC-2 AC-3 SI-3 SI-4 SI-5

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10

null

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7

SI-4 SI-5 SI-7

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7

null

I.1.16

null

5.10.4.5

null

SI-10

null

SI-10

null

SI-10

null

SI-10

null

SI-10

null

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10

null

SI-10

null

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5

null

SI-10

null

17.22

null

TPC-60

null

1284

null

x

null

x

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

null

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

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

R-GV-6

R-GV-7

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Error Handling

TDA-19

Mechanisms exist to handle error conditions by: ▪ Identifying potentially security-relevant error conditions; ▪ Generating error messages that provide information necessary for corrective actions without revealing sensitive or potentially harmful information in error logs and administrative messages that could be exploited; and ▪ Revealing error messages only to authorized personnel.

null

Does the organization handle error conditions by: ▪ Identifying potentially security-relevant error conditions; ▪ Generating error messages that provide information necessary for corrective actions without revealing sensitive or potentially harmful information in error logs and administrative messages that could be exploited; and ▪ Revealing error messages only to authorized personnel?

9

Protect

null

X

There is no evidence of a capability to handle err or conditions by: ▪ Identifying potentially security-relevant err or conditions; ▪ Generating err or messages that provide information necessary for corrective actions without revealing sensitive or potentially harmful information in err or logs and administrative messages that could be exploited; and ▪ Revealing err or messages only to authorized personnel.

Technology Development & Acquisition (TDA) 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 use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • 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.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 handle err or conditions by: ▪ Identifying potentially security-relevant err or conditions; ▪ Generating err or messages that provide information necessary for corrective actions without revealing sensitive or potentially harmful information in err or logs and administrative messages that could be exploited; and ▪ Revealing err or messages only to authorized personnel.

null

CR 3.7 (7.9.1)

null

SI-11

null

SI-11

null

SI-11

null

SI-11

null

1.1.17

null

AM:SG1.SP1 KIM:SG4.SP2

null

SI-11

null

SI-11

null

SI-11

null

SI-11

null

SI-11

null

SI-11

null

SI-11

null

SI-11

null

PSS-04

null

17.23

null

TPC-61

null

x

null

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

null

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

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

R-GV-6

R-GV-7

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Technology Development & Acquisition

Access to Program Source Code

TDA-20

Mechanisms exist to limit privileges to change software resident within software libraries.

- Source code escrow

null

Does the organization limit privileges to change software resident within software libraries?

9

Protect

null

X

There is no evidence of a capability to limit privileges to change software resident within software libraries.

SP-CMM1 is N/A, since a structured process is required to limit privileges to change software resident within software libraries.

Technology Development & Acquisition (TDA) 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: • Development and acquisition 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 to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.

Technology Development & Acquisition (TDA) 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: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o 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 for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.

Technology Development & Acquisition (TDA) 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 limit privileges to change software resident within software libraries.

null

9.4.5 14.2.4

8.4 8.30

9.4.5 14.2.4

null

6.6.4.5

null

TS-1.14

null

PS.1 PS.1.1

null

SA-4(2)

null

SA-4(2)

null

SA-4(2)

null

PS.1 PS.1.1

null

I.2.5

null

3.6.2(73)

null

7.9

DEV-07

null

1422 1816

null

9.4.5 14.2.4

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-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

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-7 MT-1 MT-2 MT-7 MT-8 MT-9 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

null

MT-11

MT-12

MT-13

MT-14

MT-15

null