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725
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CSC
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CSC v8.0
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CSC v8.0
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CCM
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IoT SCF
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21434
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22301
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stringclasses 25
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27001
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values | ISO
27001
v2022
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values | ISO
27002
v2013
stringclasses 142
values | ISO
27002
v2022
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27017
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27701
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29100
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stringclasses 15
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31000
v2009
stringclasses 7
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31010
v2009
stringclasses 16
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ATT&CK
10
stringclasses 100
values | MPA
Content Security Program
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Insurance Data Security Model Law (MDL-668)
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AI RMF
AI 100-1
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v1.0
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SSDF
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800-53 rev4
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23
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99
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40
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40
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CSF
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R155
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COPPA
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FAR
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FAR
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FINRA
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FTC Act
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GLBA
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HIPAA
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165
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NNPI
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Privacy Shield
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SEC
Cybersecurity Rule
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SOX
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SSA
EIESR
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CDPA
2023
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EU
EBA
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EU
DORA
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EU
GDPR
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EU
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EU
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EU
EU-US Data Privacy Framework
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Belgium
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Germany
stringclasses 11
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Germany
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Germany
C5-2020
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Russia
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Saudi Arabia
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Serbia
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Spain
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UK
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Australia
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Australia
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China
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China
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Japan
APPI
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Japan
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Singapore
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Singapore MAS
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Continuous Monitoring | Individuals Posing Greater Risk | MON-01.14 | Mechanisms exist to implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk. | null | E-MON-03 | Does the organization implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk? | 5 | Detect | null | X | X | There is no evidence of a capability to implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk. | SP-CMM1 is N/A, since a structured process is required to implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk. | SP-CMM2 is N/A, since a well-defined process is required to implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems.
• Human Resources (HR) and Legal departments determine what is legally-allowable to support enhanced monitoring for individuals who pose a greater risk to the organization, including privileged users.
• A Security Operations Center (SOC), or similar capability, configures monitoring technologies to implement the enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-4(19) | null | null | null | SI-4(19) | null | null | null | null | SI-4(19) | null | null | null | null | null | SI-4(19) | null | null | null | SI-4(19) | SI-4(19) | null | null | null | null | 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B.1.1.6
| null | null | null | null | null | null | null | null | null | null | null | TBD - 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | SI-4(19) | null | null | SI-4(19) | null | SI-4(19) | null | null | SI-4(19) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-12-3-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Privileged User Oversight | MON-01.15 | Mechanisms exist to implement enhanced activity monitoring for privileged users. | null | E-MON-03 | Does the organization implement enhanced activity monitoring for privileged users? | 5 | Detect | null | X | null | There is no evidence of a capability to implement enhanced activity monitoring for privileged users. | SP-CMM1 is N/A, since a structured process is required to implement enhanced activity monitoring for privileged users. | SP-CMM2 is N/A, since a well-defined process is required to implement enhanced activity monitoring for privileged users. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Human Resources (HR) and Legal departments determine what is legally-allowable to support enhanced monitoring for individuals who pose a greater risk to the organization, including privileged users.
• A Security Operations Center (SOC), or similar capability, configures monitoring technologies to implement the enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | 3.14 | null | null | 3.14 | null | null | IAM-09
IAM-10
IAM-11
LOG-11 | CLS-07 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-4(20) | null | null | null | SI-4(20) | null | null | null | SI-4(20) | null | null | null | null | SI-4(20) | null | null | null | null | null | null | null | null | 3.1.7.b | null | null | 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.21 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | SI-4(20) | null | null | SI-4(20) | null | SI-4(20) | null | null | SI-4(20) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TPC-83 | null | 2-12-3-2 | null | null | null | null | null | null | null | null | null | null | B2.c
C1.a
C1.c | null | null | null | null | null | Principle 5.11
Principle 5.12 | Principle 5.15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Analyze and Prioritize Monitoring Requirements | MON-01.16 | Mechanisms exist to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes. | null | null | Does the organization assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes? | 5 | Detect | null | X | null | There is no evidence of a capability to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes. | SP-CMM1 is N/A, since a structured process is required to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes. | null | null | null | null | null | null | null | null | null | LOG-11 | CLS-07
CLS-08 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | G.3.8.1 | null | null | null | null | null | SITUATION-1.E.MIL2 | MON:SG1.SP4 | null | 5.4
5.4.1
5.4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B2.d
C1.e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.1
3.3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-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 | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Real-Time Session Monitoring | MON-01.17 | Mechanisms exist to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations. | null | null | Does the organization enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations? | 4 | Detect | null | X | X | There is no evidence of a capability to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations. | SP-CMM1 is N/A, since a structured process is required to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations. | SP-CMM2 is N/A, since a well-defined process is required to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-14(3) | null | null | null | null | AU-14(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.27.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B2.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-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 | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Centralized Collection of Security Event Logs | MON-02 | Mechanisms exist to utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs. | - Security Incident Event Manager (SIEM)
- Splunk | E-MON-01
E-MON-05 | Does the organization utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs? | 10 | Detect | X | X | X | There is no evidence of a capability to utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs. | SP-CMM1 is N/A, since a structured process is required to utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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 Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs. | CC7.2
CC7.3 | null | null | 3.14
8.1
8.2
8.3
8.4
8.5
8.6
8.7
8.8
8.9
8.12
13.1 | 8.1
8.2
8.3 | 8.1
8.2
8.3
8.4
8.5
8.6
8.7
8.8
8.9
13.1 | 3.14
8.1
8.2
8.3
8.4
8.5
8.6
8.7
8.8
8.9
8.12
13.1 | DSS06.05 | null | LOG-03 | CLS-08
MON-07 | SO17
SO20
SO21 | null | null | null | null | null | null | null | 8.15 | null | null | null | null | null | null | null | TS-1.5
TS-1.11 | null | null | null | null | null | null | AU-2
AU-2(3)
AU-6
IR-4(4)
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-2(3)
AU-6
SI-4 | AU-2
AU-2(3)
AU-6
SI-4 | AU-2
AU-6
IR-4(4)
SI-4 | AU-2 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
IR-4(4)
SI-4 | null | null | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
IR-4(4)
SI-4 | null | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | 3.3.1
3.3.3
3.3.5
3.3.6
3.3.8
3.3.9 | 3.3.5.a | null | A.03.03.05.c
A.03.03.06.a | null | null | DE.AE-3 | null | A09:2021 | 10.2.1
10.2.2
10.2.3
10.2.4
10.2.5
10.2.6
10.2.7
11.4 | 10.3.3
10.4
10.4.1
10.4.1.1 | null | 10.3.3
10.4.1
10.4.1.1 | null | null | 10.3.3
10.4.1
10.4.1.1 | null | 10.3.3
10.4.1
10.4.1.1 | 10.3.3
10.4.1
10.4.1.1 | null | J.3.2 | 6.1
6.2
6.3
6.4 | null | null | null | null | SITUATION-1.E.MIL2 | COMP:SG2.SP1
COMP:SG3.SP1
MON:SG1.SP3
MON:SG2.SP3
MON:SG2.SP4 | 3.1 | 5.4
5.4.1
5.4.3 | null | AU.L2-3.3.1
AU.L2-3.3.3
AU.L2-3.3.5
AU.L2-3.3.6
AU.L2-3.3.8
AU.L2-3.3.9 | null | null | AU.L2-3.3.1
AU.L2-3.3.3
AU.L2-3.3.5
AU.L2-3.3.6
AU.L2-3.3.8
AU.L2-3.3.9 | AU.L2-3.3.1
AU.L2-3.3.3
AU.L2-3.3.5
AU.L2-3.3.6
AU.L2-3.3.8
AU.L2-3.3.9 | AU-2
AU-2(3)
AU-6
SI-4 | null | null | null | null | null | null | § 11.10
§ 11.10(b)
§ 11.10(c)
§ 11.10(e) | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | null | null | null | null | null | null | null | null | null | AU-2
AU-6
SI-4 | null | null | 8-602 | null | null | null | null | null | 5.4 | AU-2
AU-6 | AU-2
AU-6 | AU-2
AU-6 | null | null | null | null | null | null | null | null | null | 17.03(2)(b)(3)
17.04(4) | null | null | null | 622(2)(d)(B)(iii) | null | null | null | AU-2
AU-6
SI-4 | AU-2
AU-6
SI-4 | AU-2
AU-2(3)
AU-6
SI-4 | null | null | null | 3.5(52) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-14 | null | null | null | 4.6
12.17
21.3
21.4
21.6
21.12 | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-3
2-11-1-4 | TPC-81 | 3.3.14 | null | 2-11-1-3
2-11-1-9 | null | null | null | null | null | null | null | null | null | C1.a
C1.c | C1
C2 | null | null | null | null | null | Principle 5.14 | null | null | 1566
1405
0109
1228 | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.6.11.C.01
16.6.11.C.02
16.6.11.C.03
16.6.12.C.01
16.6.12.C.02
16.6.12.C.03 | null | null | null | null | 9.1.3 | null | null | null | null | null | 6.21 | null | 3.2 | 3.3.1
3.3.2 | null | null | null | null | null | null | null | null | null | null | x | MA 201 CMR 17
OR 6464A | x | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-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 | 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 | null | null |
Continuous Monitoring | Correlate Monitoring Information | MON-02.1 | Automated mechanisms exist to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Security Incident Event Manager (SIEM)
- Splunk
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization use automated mechanisms to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness? | 9 | Detect | null | X | X | There is no evidence of a capability to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness. | SP-CMM1 is N/A, since a structured process is required to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness. | CC7.2
CC7.3 | null | null | 3.14
8.12
13.6 | null | 13.6 | 3.14
8.12
13.6 | DSS06.05 | null | LOG-03
LOG-12 | null | null | null | null | null | null | null | null | null | 8.15 | null | null | null | null | null | null | null | TS-1.5
TS-1.11 | null | null | null | null | null | null | AU-6(3)
IR-4(4)
SI-4(16) | null | AU-6(3) | AU-6(3)
IR-4(4) | AU-6(3)
AU-6(9)
IR-4(4)
SI-4(16) | null | null | AU-6(3) | AU-6(3)
IR-4(4) | SI-4(16) | null | null | AU-6(3) | AU-6(3)
IR-4(4) | null | AU-6(9) | null | null | null | null | AU-6(9) | 3.3.5
3.14.7 | 3.3.5.c | 3.3.5[a]
3.3.5[b]
3.14.7[a]
3.14.7[b] | A.03.03.05.c | null | null | DE.AE-3 | DE.AE-03 | A09:2021 | null | 10.4.1.1
12.10.5 | null | 10.4.1.1 | null | null | 10.4.1.1 | null | 10.4.1.1
12.10.5 | 10.4.1.1
12.10.5 | null | J.3.2 | null | null | null | null | null | SITUATION-1.E.MIL2
SITUATION-3.E.MIL3
SITUATION-3.F.MIL3 | null | 3.1 | 5.4
5.4.1
5.4.3 | null | AU.L2-3.3.5
SI.L2-3.14.7 | AU.L2-3.3.5
SI.L2-3.14.7 | null | AU.L2-3.3.5
SI.L2-3.14.7 | AU.L2-3.3.5
SI.L2-3.14.7 | AU-6(3) | null | null | null | null | null | null | null | AU-6(3)
IR-4(4)
SI-4(16) | null | AU-6(3)
SI-4(16) | AU-6(3)
IR-4(4)
SI-4(16) | null | AU-6(3)
IR-4(4)
SI-4(16) | null | AU-6(3)
SI-4(16) | AU-6(3)
IR-4(4)
SI-4(16) | null | null | null | null | null | null | null | null | null | null | AU-6(3)
AU-6(9) | null | null | null | null | null | null | null | null | 5.6 | null | null | AU-6(3)
SI-4(16) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6(3)
SI-4(16) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-13 | null | null | null | 4.6
12.17
21.6
21.12
21.13
21.19 | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-3
2-11-1-4 | TPC-81 | 3.3.14 | null | 2-11-1-4
2-11-1-5
2-11-1-6
2-11-1-7
2-11-1-8
2-11-1-10 | null | null | null | null | null | null | null | null | null | C1.a
C1.c | null | null | null | null | null | null | Principle 5.17 | null | null | 1228 | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.6.14.C.01
18.4.12.C.01 | null | null | null | null | 12.2.5 | null | null | null | null | null | null | null | 3.6 | 3.3.1
3.3.2 | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-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 | 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 | null | null |
Continuous Monitoring | Central Review & Analysis | MON-02.2 | Automated mechanisms exist to centrally collect, review and analyze audit records from multiple sources. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | E-MON-01
E-MON-02
E-MON-05 | Does the organization use automated mechanisms to centrally collect, review and analyze audit records from multiple sources? | 5 | Detect | X | X | X | There is no evidence of a capability to centrally collect, review and analyze audit records from multiple sources. | SP-CMM1 is N/A, since a structured process is required to centrally collect, review and analyze audit records from multiple sources. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | 8.11 | null | 8.11 | 8.11 | null | null | LOG-03 | CLS-08
MON-07 | null | null | null | null | null | null | null | 12.4.1 | 6.8
8.15
8.16 | 12.4.1 | null | null | null | null | null | null | TS-1.5
TS-1.11 | null | null | CT.DM-P8 | null | null | null | AU-6(4) | null | null | null | AU-6(4) | null | null | null | null | AU-6(4) | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.1.b
3.3.5.a
3.3.5.b
3.3.5.c | null | A.03.03.05.a | null | null | null | null | null | null | 10.3.3
10.4
10.4.1
10.4.1.1 | null | 10.3.3
10.4.1
10.4.1.1 | null | null | 10.3.3
10.4.1
10.4.1.1 | null | 10.3.3
10.4.1
10.4.1.1 | 10.3.3
10.4.1
10.4.1.1 | null | J.1.2 | 6.1
6.2
6.3
6.4 | null | null | null | null | SITUATION-3.A.MIL2 | null | 3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6(4) | null | null | AU-6(4) | null | AU-6(4) | null | null | AU-6(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.5(52) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-3 | TPC-81 | null | 2-12-3-4 | 2-11-1-9
2-11-2 | null | null | null | null | 7.3.8 [OP.EXP.8] | null | null | null | null | C1.a
C1.c
C1.e | C1
C2 | null | null | null | null | null | Principle 5.17
Principle 7.10 | null | null | 1228 | null | null | null | null | null | null | null | null | null | null | 12.4.1
12.4.1.15.PB | null | null | 16.6.11.C.01
16.6.11.C.02
16.6.11.C.03
16.6.12.C.01
16.6.12.C.02
16.6.12.C.03 | null | null | null | null | 12.2.6 | null | null | null | null | null | 6.21 | null | null | 3.3.1
3.3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-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 | 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 | null | null |
Continuous Monitoring | Integration of Scanning & Other Monitoring Information | MON-02.3 | Automated mechanisms exist to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity. | null | null | Does the organization use automated mechanisms to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity? | 5 | Detect | null | X | X | There is no evidence of a capability to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity. | SP-CMM1 is N/A, since a structured process is required to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity. | SP-CMM2 is N/A, since a well-defined process is required to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | 3.14
8.6
8.7
8.12
13.6 | null | 8.6
8.7
13.6 | 3.14
8.6
8.7
8.12
13.6 | null | null | LOG-11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.11 | null | null | null | null | null | null | AU-6(5) | null | null | AU-6(5) | AU-6(5)
SI-4(17) | null | null | null | AU-6(5) | SI-4(17) | null | null | null | AU-6(5) | null | SI-4(17) | null | null | null | SI-4(17) | SI-4(17) | null | 3.3.5.c | null | null | null | null | null | DE.CM-02 | null | null | null | null | null | null | null | null | null | null | null | null | J.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6(5) | null | null | AU-6(5) | null | AU-6(5) | null | null | AU-6(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-4
2-11-1-5
2-11-1-6
2-11-1-7
2-11-1-8
2-11-1-10 | null | null | null | null | null | null | null | null | null | C1.a
C1.c | C1
C2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-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 | 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 | null | null |
Continuous Monitoring | Correlation with Physical Monitoring | MON-02.4 | Automated mechanisms exist to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity. | null | null | Does the organization use automated mechanisms to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity? | 5 | Detect | null | X | X | There is no evidence of a capability to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity. | SP-CMM1 is N/A, since a structured process is required to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity. | SP-CMM2 is N/A, since a well-defined process is required to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | null | null | null | null | null | null | LOG-12 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6(6) | null | null | AU-6(6) | AU-6(6) | null | null | null | AU-6(6) | null | null | null | null | AU-6(6) | null | null | null | null | null | null | null | null | null | null | null | 3.14.2e | null | null | DE.CM-02
DE.AE-03 | null | null | null | null | null | null | null | null | null | null | null | null | J.3 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | AU-6(6) | null | null | AU-6(6) | null | AU-6(6) | null | null | AU-6(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-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 | 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 | null | null |
Continuous Monitoring | Permitted Actions | MON-02.5 | Mechanisms exist to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. | null | null | Does the organization specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information? | 5 | Protect | null | X | X | There is no evidence of a capability to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. | SP-CMM1 is N/A, since a structured process is required to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. | null | null | null | null | null | null | null | null | null | LOG-09 | MON-04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6(7) | null | null | null | AU-6(7) | null | null | null | null | AU-6(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | J.2.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6(7) | null | null | AU-6(7) | null | AU-6(7) | null | null | AU-6(7) | null | null | null | null | null | null | null | null | null | null | AU-6(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-3-1-8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Audit Level Adjustments | MON-02.6 | Mechanisms exist to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. | null | null | Does the organization adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence? | 5 | Detect | null | X | X | There is no evidence of a capability to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. | SP-CMM1 is N/A, since a structured process is required to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. | SP-CMM2 is N/A, since a well-defined process is required to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems.
• A Security Operations Center (SOC), or similar capability, configures monitoring technologies to implement the enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel. | Continuous Monitoring (MON) 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 adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6(10) | null | null | null | AU-6 | null | AU-6 | AU-6 | AU-6 | null | null | AU-6 | AU-6 | AU-6 | null | AU-6 | AU-6 | null | null | AU-6 | AU-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | J.1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6(10) | null | null | AU-6(10) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OIS-05 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | System-Wide / Time-Correlated Audit Trail | MON-02.7 | Automated mechanisms exist to compile audit records into an organization-wide audit trail that is time-correlated. | null | null | Does the organization use automated mechanisms to compile audit records into an organization-wide audit trail that is time-correlated? | 5 | Detect | null | null | X | There is no evidence of a capability to compile audit records into an organization-wide audit trail that is time-correlated. | SP-CMM1 is N/A, since a structured process is required to compile audit records into an organization-wide audit trail that is time-correlated. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | 8.2 | 8.2 | 8.2 | 8.2 | null | null | LOG-03 | MON-07 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-12(1) | null | null | AU-12(1) | AU-12(1) | null | null | null | AU-12(1) | null | null | null | null | AU-12(1) | null | null | null | null | null | null | null | null | 3.3.1.a | null | null | null | null | null | DE.AE-03 | null | null | 10.6
10.6.1
10.6.2
10.6.3 | null | 10.6.1
10.6.2
10.6.3 | null | null | 10.6.1
10.6.2
10.6.3 | null | 10.6.1
10.6.2
10.6.3 | 10.6.1
10.6.2
10.6.3 | null | G.6.1 | null | null | null | null | null | null | null | 3.1 | null | null | null | null | null | null | null | AU-12(1) | null | null | null | null | null | null | null | AU-12(1) | null | null | AU-12(1) | null | AU-12(1) | null | null | AU-12(1) | null | null | null | null | null | null | null | null | null | null | AU-12(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-1
2-11-1-2
2-11-1-3 | null | null | null | null | null | null | null | null | null | C1.a
C1.c | null | null | null | null | null | null | null | null | null | 0988 | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.6.11.C.02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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 | 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 | null | null |
Continuous Monitoring | Changes by Authorized Individuals | MON-02.8 | Mechanisms exist to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Does the organization provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds? | 5 | Detect | null | X | X | There is no evidence of a capability to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. | SP-CMM1 is N/A, since a structured process is required to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. | null | null | null | null | null | null | null | null | null | LOG-09 | MON-04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.5 | null | null | null | null | null | null | AU-12(3) | null | null | AU-12(3) | AU-12(3) | null | null | null | AU-12(3) | null | null | null | null | AU-12(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | H.2.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-12(3) | null | null | AU-12(3) | null | AU-12(3) | null | null | AU-12(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Content of Event Logs | MON-03 | Mechanisms exist to configure systems to produce event logs that contain sufficient information to, at a minimum:
▪ Establish what type of event occurred;
▪ When (date and time) the event occurred;
▪ Where the event occurred;
▪ The source of the event;
▪ The outcome (success or failure) of the event; and
▪ The identity of any user/subject associated with the event. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Does the organization configure systems to produce event logs that contain sufficient information to, at a minimum:
▪ Establish what type of event occurred;
▪ When (date and time) the event occurred;
▪ Where the event occurred;
▪ The source of the event;
▪ The outcome (success or failure) of the event; and
▪ The identity of any user/subject associated with the event? | 10 | Detect | X | X | X | There is no evidence of a capability to configure systems to produce event logs that contain sufficient information to, at a minimum:
▪ Establish what type of event occurred;
▪ When (date and time) the event occurred;
▪ Where the event occurred;
▪ The source of the event;
▪ The outcome (success or failure) of the event; and
▪ The identity of any user/subject associated with the event. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure systems to produce event logs that contain sufficient information to, at a minimum:
▪ Establish what type of event occurred;
▪ When (date and time) the event occurred;
▪ Where the event occurred;
▪ The source of the event;
▪ The outcome (success or failure) of the event; and
▪ The identity of any user/subject associated with the event. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure systems to produce event logs that contain sufficient information to, at a minimum:
▪ Establish what type of event occurred;
▪ When (date and time) the event occurred;
▪ Where the event occurred;
▪ The source of the event;
▪ The outcome (success or failure) of the event; and
▪ The identity of any user/subject associated with the event. | PI1.4 | null | null | 3.14
8.2 | 8.2 | 8.2 | 3.14
8.2 | null | null | LOG-08 | MON-03
MON-06 | null | null | CR 2.8 (6.10.1) | null | null | null | null | 12.4.1 | 8.15 | 12.4.1 | null | null | null | null | null | null | null | Sec 4(D)(2)(i) | null | null | null | null | null | AU-3
DM-2(1) | AU-3 | AU-3 | AU-3 | AU-3 | null | AU-3 | AU-3 | AU-3 | null | null | AU-3 | AU-3 | AU-3 | null | AU-3 | AU-3 | AU-3 | AU-3 | AU-3 | AU-3 | 3.3.2 | 3.3.1.a
3.3.2.a
3.3.2.a.1
3.3.2.a.2
3.3.2.a.3
3.3.2.a.4
3.3.2.a.5
3.3.2.a.6
3.3.2.b
3.3.3.a | 3.3.1[a]
3.3.1[b]
3.3.1[d]
3.3.2[a]
3.3.2[b] | A.03.03.01.b[01]
A.03.03.01.b[02]
A.03.03.01.ODP[01]
A.03.03.02.a.01
A.03.03.02.a.02
A.03.03.02.a.03
A.03.03.02.a.04
A.03.03.02.a.05
A.03.03.02.a.06
A.03.03.02.b.07
A.03.03.03.a | null | null | null | null | A09:2021 | 10.3
10.3.1
10.3.2
10.3.3
10.3.4
10.3.5
10.3.6 | 10.2
10.2.1
10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7
10.2.2 | null | 10.2.1
10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7
10.2.2 | null | null | 10.2.1.2
10.2.1.4
10.2.1.5
10.2.2 | null | 10.2.1
10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7
10.2.2 | 10.2.1
10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7
10.2.2 | null | N.15 | null | null | null | null | null | null | COMP:SG1.SP3
COMP:SG3.SP1
TM:SG2.SP2 | 3.1 | 5.4.1
5.4.1.1
5.4.1.1.1 | null | AU.L2-3.3.2 | AU.L2-3.3.2 | null | AU.L2-3.3.2 | AU.L2-3.3.2 | AU-3 | null | null | null | null | null | null | § 11.10
§ 11.10(b)
§ 11.10(c)
§ 11.10(e) | AU-3 | AU-3 | AU-3 | AU-3 | AU-3 | AU-3 | AU-3 | AU-3 | AU-3 | AU-3 | null | null | null | null | null | null | null | null | null | AU-3 | null | null | 8-602 | 3.1
3.2
7.1 | null | null | null | null | null | AU-3 | AU-3 | AU-3 | III.D.3.a | null | null | null | null | null | null | null | null | null | null | 500.06 | null | null | 38-99-20(D)(2)(i) | null | null | AU-3 | AU-3 | AU-3 | null | null | null | 3.5(52) | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.3 | OPS-15 | null | null | null | 4.6
12.17
21.2
21.5
21.7
21.10 | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-5 | null | null | null | null | null | null | null | null | 7.3.8 [OP.EXP.8] | null | null | null | null | C1.a
C1.c | null | null | null | null | null | null | null | null | null | 0582
1536
1537
0585 | null | null | null | null | null | null | null | null | null | null | 12.4.1
12.4.1.15.PB | null | null | 16.6.7.C.01
16.6.9.C.01
16.6.10.C.01
16.6.10.C.02 | null | null | null | null | null | null | null | null | null | null | 6.21 | null | null | null | null | null | null | null | null | null | null | null | null | null | x | NAIC | x | 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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - wordsmithed control |
Continuous Monitoring | Sensitive Audit Information | MON-03.1 | Mechanisms exist to protect sensitive/regulated data contained in log files. | null | null | Does the organization protect sensitive/regulated data contained in log files? | 8 | Detect | null | null | X | There is no evidence of a capability to protect sensitive/regulated data contained in log files. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect sensitive/regulated data contained in log files. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect sensitive/regulated data contained in log files. | null | null | null | 3.14 | null | null | 3.14 | null | null | LOG-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-3(1)
AU-6(1) | null | AU-3(1)
AU-6(1) | AU-3(1)
AU-6(1) | AU-3(1)
AU-6(1) | null | null | AU-3(1)
AU-6(1) | AU-3(1)
AU-6(1) | null | null | null | AU-3(1)
AU-6(1) | AU-3(1)
AU-6(1) | null | null | null | null | null | null | null | 3.3.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.15.1 | null | null | null | null | null | null | null | null | null | null | AU.L2-3.3.8 | null | null | AU.L2-3.3.8 | AU.L2-3.3.8 | AU-3(1)
AU-6(1) | null | null | null | null | null | null | null | AU-3(1)
AU-6(1) | null | AU-3(1)
AU-6(1) | AU-3(1)
AU-6(1) | null | AU-3(1)
AU-6(1) | null | AU-3(1)
AU-6(1) | AU-3(1)
AU-6(1) | null | null | null | null | null | null | null | null | null | null | AU-3(1)
AU-6(1) | null | null | null | null | null | null | null | null | 5.4
5.6 | null | null | AU-3(1)
AU-6(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-3(1)
AU-6(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-4
R-AM-1
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-2
R-GV-4
R-GV-5
R-IR-4 | null | null | null | R-AC-4 | R-AM-1 | 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 | null | null | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Audit Trails | MON-03.2 | Mechanisms exist to link system access to individual users or service accounts. | null | null | Does the organization link system access to individual users or service accounts? | 10 | Detect | null | null | X | There is no evidence of a capability to link system access to individual users or service accounts. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• Secure baseline configurations restrict access to event logs from privileged users to protect event logs and audit tools from unauthorized access, modification and deletion. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to link system access to individual users or service accounts. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to link system access to individual users or service accounts. | null | null | null | null | null | null | null | null | null | LOG-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.1.a | 3.3.2[a]
3.3.1[c] | null | null | null | null | null | A09:2021 | 10.1 | 10.2
10.2.1
10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7
10.2.2 | null | 10.2.1
10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7
10.2.2 | null | null | 10.2.1.2
10.2.1.4
10.2.1.5
10.2.2 | null | 10.2.1
10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7
10.2.2 | 10.2.1
10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7
10.2.2 | null | H.2.2 | null | null | null | null | null | null | null | 3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | § 11.10
§ 11.10(b)
§ 11.10(c)
§ 11.10(e) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1
3.2
7.1 | null | null | null | null | 5.4 | null | null | null | III.D.3.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.17 | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.a
C1.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.6.8.C.01
16.6.9.C.01
16.6.10.C.01
16.6.10.C.02 | null | null | null | null | 9.2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Privileged Functions Logging | MON-03.3 | Mechanisms exist to log and review the actions of users and/or services with elevated privileges. | - Security Incident Event Manager (SIEM)
- Splunk | null | Does the organization log and review the actions of users and/or services with elevated privileges? | 8 | Detect | null | null | X | There is no evidence of a capability to log and review the actions of users and/ or services with elevated privileges. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems.
• Logs of privileged functions (e.g., administrator or root actions) are reviewed for evidence of unauthorized activities. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems.
• Human Resources (HR) and Legal departments determine what is legally-allowable to support enhanced monitoring for individuals who pose a greater risk to the organization, including privileged users.
• A Security Operations Center (SOC), or similar capability, configures monitoring technologies to implement the enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel.
• Logs of privileged functions (e.g., administrator or root actions) are reviewed for evidence of unauthorized activities. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to log and review the actions of users and/ or services with elevated privileges. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to log and review the actions of users and/ or services with elevated privileges. | null | null | null | 8.8 | null | 8.8 | 8.8 | null | null | IAM-09
IAM-10
IAM-11 | null | null | null | null | null | null | null | null | 12.4.3 | 8.15 | 12.4.3 | null | 6.9.4.3 | null | null | null | null | null | null | null | null | null | null | null | AU-6(8) | null | null | null | AU-6(8) | null | null | null | null | AU-6(8) | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.7.b | null | A.03.01.07.b | null | null | null | null | A09:2021 | 10.2
10.2.1
10.2.2
10.2.3
10.2.4
10.2.5
10.2.6
10.2.7 | 10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7 | null | 10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7 | null | null | 10.2.1.2
10.2.1.4
10.2.1.5 | null | 10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7 | 10.2.1.1
10.2.1.2
10.2.1.3
10.2.1.4
10.2.1.5
10.2.1.6
10.2.1.7 | null | H.2.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-16 | null | null | null | 21.10
21.21 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-12-3-2 | null | null | null | null | null | null | null | null | null | null | B2.c
C1.a
C1.c | null | null | null | null | null | Principle 5.11
Principle 5.12 | Principle 5.15 | null | null | 1537 | null | null | null | null | null | null | null | null | null | null | 12.4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | 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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Verbosity Logging for Boundary Devices | MON-03.4 | Mechanisms exist to verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies. | null | null | Does the organization verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies? | 5 | Detect | null | null | X | There is no evidence of a capability to verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A09:2021 | null | null | null | null | null | null | null | null | null | null | null | N.6.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.5
21.21 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-4
R-AM-3
R-GV-1
R-IR-1
R-SA-1 | null | null | null | R-AC-4 | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | null | null | null | null | null | null | null | R-IR-1 | null | null | null | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Limit Personal Data (PD) In Audit Records | MON-03.5 | Mechanisms exist to limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment. | - Data Protection Impact Assessment (DPIA) | null | Does the organization limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment? | 8 | Detect | null | X | X | There is no evidence of a capability to limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-3(3) | AU-3(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-3(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | x | R-AC-4
R-AM-1
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-2
R-GV-4
R-GV-5
R-IR-4 | null | null | null | R-AC-4 | R-AM-1 | 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 | null | null | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Centralized Management of Planned Audit Record Content | MON-03.6 | Mechanisms exist to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. | null | null | Does the organization centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components? | 5 | Detect | X | X | X | There is no evidence of a capability to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. | SP-CMM1 is N/A, since a structured process is required to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-3(2) | null | null | AU-3(2) | PL-9 | PL-9 | null | null | null | null | null | null | null | null | null | PL-9 | null | null | PL-9 | PL-9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.43 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-3(2) | null | null | AU-3(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-12-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | null | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Database Logging | MON-03.7 | Mechanisms exist to ensure databases produce audit records that contain sufficient information to monitor database activities. | null | null | Does the organization ensure databases produce audit records that contain sufficient information to monitor database activities? | 8 | Detect | null | null | X | There is no evidence of a capability to ensure databases produce audit records that contain sufficient information to monitor database activities. | SP-CMM1 is N/A, since a structured process is required to ensure databases produce audit records that contain sufficient information to monitor database activities. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure databases produce audit records that contain sufficient information to monitor database activities. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure databases produce audit records that contain sufficient information to monitor database activities. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.2[a] | null | null | null | null | null | null | null | 7.2.6 | null | null | null | null | null | null | 7.2.6 | 7.2.6 | null | U.1.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1537 | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.6.7.C.01
16.6.9.C.01
16.6.10.C.01
16.6.10.C.02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
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-EX-6
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-SA-1 | R-AC-1 | null | 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 | R-EX-6 | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | null | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Event Log Storage Capacity | MON-04 | Mechanisms exist to allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded. | null | null | Does the organization allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded? | 8 | Detect | null | X | X | There is no evidence of a capability to allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded. | SP-CMM1 is N/A, since a structured process is required to allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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 allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded. | null | null | null | 8.10 | null | 8.10 | 8.10 | null | null | null | null | null | null | CR 2.9 (6.11.1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-4 | AU-4 | AU-4 | AU-4
AU-5(1) | AU-4 | null | AU-4 | AU-4 | AU-4 | null | null | AU-4 | AU-4 | AU-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | I.3.15.5
| null | null | null | null | null | null | TM:SG5.SP3 | null | null | null | null | null | null | null | null | AU-4 | null | null | null | null | null | null | null | AU-4
AU-5(1) | AU-4 | AU-4 | AU-4
AU-5(1) | AU-4 | AU-4
AU-5(1) | AU-4 | AU-4 | AU-4
AU-5(1) | AU-4 | null | null | null | null | null | null | null | null | null | AU-4 | null | null | 8-602 | null | null | null | null | null | null | AU-4 | AU-4 | AU-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-4 | AU-4 | AU-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-12-3-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.6.13.C.01
16.6.13.C.02
16.6.13.C.03
16.6.13.C.04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AM-3
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | null | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Response To Event Log Processing Failures | MON-05 | Mechanisms exist to alert appropriate personnel in the event of a log processing failure and take actions to remedy the disruption. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Security Incident Event Manager (SIEM)
- Splunk
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization alert appropriate personnel in the event of a log processing failure and take actions to remedy the disruption? | 8 | Detect | null | X | X | There is no evidence of a capability to alert appropriate personnel in the event of a log processing failure and take actions to remedy the disruption. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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 alert appropriate personnel in the event of a log processing failure and take actions to remedy the disruption. | null | null | null | null | null | null | null | null | null | LOG-13 | null | null | null | CR 2.10 (6.12.1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-5 | AU-5 | AU-5 | AU-5 | AU-5 | null | AU-5 | AU-5 | AU-5 | null | null | AU-5 | AU-5 | AU-5 | null | null | null | null | null | null | null | 3.3.4 | 3.3.4.a
3.3.4.b | 3.3.4[a]
3.3.4[b]
3.3.4[c] | A.03.03.04.a
A.03.03.04.b
A.03.03.04.ODP[01]
A.03.03.04.ODP[02] | null | null | null | null | A09:2021 | null | null | null | null | null | null | null | null | null | null | null | I.1.17 | null | null | null | null | null | null | COMP:SG1.SP3
TM:SG5.SP2 | null | 5.4.2 | null | AU.L2-3.3.4 | AU.L2-3.3.4 | null | AU.L2-3.3.4 | AU.L2-3.3.4 | AU-5 | null | null | null | null | null | null | null | AU-5 | AU-5 | AU-5 | AU-5 | AU-5 | AU-5 | AU-5 | AU-5 | AU-5 | AU-5 | null | null | null | null | null | null | null | null | null | AU-5 | null | null | 8-602 | null | null | null | null | null | null | AU-5 | AU-5 | AU-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-5 | AU-5 | AU-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-17 | null | null | null | 21.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | 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-EX-6
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | null | null | null | null | null | null | R-AM-3 | R-BC-1 | R-BC-2 | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | null | 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 | null | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Real-Time Alerts of Event Logging Failure | MON-05.1 | Mechanisms exist to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Security Incident Event Manager (SIEM)
- Splunk
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization provide 24x7x365 near real-time alerting capability when an event log processing failure occurs? | 6 | Detect | null | null | X | There is no evidence of a capability to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. | SP-CMM1 is N/A, since a structured process is required to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. | null | null | null | null | null | null | null | null | null | LOG-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-5(2)
SI-4(12) | null | null | AU-5(2) | AU-5(2)
SI-4(12) | null | null | null | AU-5(2)
SI-4(12) | null | null | null | null | AU-5(2)
SI-4(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | I.1.17 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-5(2) | null | null | AU-5(2) | null | AU-5(2)
SI-4(12) | null | null | AU-5(2)
SI-4(12) | null | null | null | null | null | null | null | null | null | null | SI-4(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-17 | null | null | null | 21.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | 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-EX-6
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | null | null | null | null | null | null | R-AM-3 | R-BC-1 | R-BC-2 | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | null | 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 | null | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Event Log Storage Capacity Alerting | MON-05.2 | Automated mechanisms exist to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity. | null | null | Does the organization use automated mechanisms to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity? | 5 | Detect | null | null | X | There is no evidence of a capability to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity. | SP-CMM1 is N/A, since a structured process is required to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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 alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity. | null | null | null | null | null | null | null | null | null | null | null | null | null | CR 2.9 (6.11.3(1)) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-5(1) | null | null | AU-5(1) | AU-5(1) | null | null | null | AU-5(1) | null | null | null | null | AU-5(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | I.3.15.5
| null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-5(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-5(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
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-EX-6
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | R-AC-1 | null | null | null | null | null | R-AM-3 | R-BC-1 | R-BC-2 | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | null | 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 | 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 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Continuous Monitoring | Monitoring Reporting | MON-06 | Mechanisms exist to provide an event log report generation capability to aid in detecting and assessing anomalous activities. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Security Incident Event Manager (SIEM)
- Splunk
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization provide an event log report generation capability to aid in detecting and assessing anomalous activities? | 7 | Detect | null | X | X | There is no evidence of a capability to provide an event log report generation capability to aid in detecting and assessing anomalous activities. | SP-CMM1 is N/A, since a structured process is required to provide an event log report generation capability to aid in detecting and assessing anomalous activities. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide an event log report generation capability to aid in detecting and assessing anomalous activities. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide an event log report generation capability to aid in detecting and assessing anomalous activities. | CC7.2
CC7.3 | null | null | null | null | null | null | null | null | LOG-13 | null | null | null | null | null | null | null | null | null | 6.8
8.15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-7
AU-7(1)
AU-12 | AU-12 | AU-7
AU-7(1)
AU-12 | AU-7
AU-7(1)
AU-12 | AU-7
AU-7(1)
AU-12 | null | AU-12 | AU-7
AU-7(1)
AU-12 | AU-7
AU-7(1)
AU-12 | null | null | AU-12 | AU-7
AU-7(1)
AU-12 | AU-7
AU-7(1)
AU-12 | null | AU-12 | AU-12 | AU-12 | null | AU-12 | AU-12 | 3.3.6 | 3.3.3.a
3.3.5.b
3.3.6.a | 3.3.6[a]
3.3.6[b] | A.03.03.05.b
A.03.03.06.a | null | null | DE.DP-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | J.3.2 | null | null | null | null | null | SITUATION-3.B.MIL2
SITUATION-3.C.MIL2 | COMP:SG3.SP2
TM:SG2.SP2 | null | null | null | AU.L2-3.3.6 | AU.L2-3.3.6 | null | AU.L2-3.3.6 | AU.L2-3.3.6 | AU-7
AU-7(1)
AU-12 | null | null | null | null | null | null | null | AU-7
AU-7(1)
AU-12 | AU-12 | AU-7
AU-7(1)
AU-12 | AU-7
AU-7(1)
AU-12 | AU-12 | AU-7
AU-7(1)
AU-12 | AU-12 | AU-7
AU-7(1)
AU-12 | AU-7
AU-7(1)
AU-12 | AU-12 | null | D3.DC.Ev.B.2
D5.ER.Is.B.1
D5.ER.Is.E.1 | null | null | null | null | null | null | null | AU-7
AU-7(1)
AU-12 | null | null | 8-602 | null | null | null | null | null | 5.6 | null | null | AU-7
AU-7(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-12 | AU-12 | AU-7
AU-7(1)
AU-12 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.3
21.11
21.19
21.20 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.2.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | 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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Query Parameter Audits of Personal Data (PD) | MON-06.1 | Mechanisms exist to provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD). | null | null | Does the organization provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD)? | 3 | Detect | null | X | X | There is no evidence of a capability to provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD). | SP-CMM1 is N/A, since a structured process is required to provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD). | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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 and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-12(4) | null | null | null | null | AU-12(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A09:2021 | null | null | null | null | null | null | null | null | null | null | null | P.9.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AM-3
R-EX-5
R-GV-3
R-GV-6
R-GV-7 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | R-EX-5 | null | null | null | null | R-GV-3 | null | null | R-GV-6 | R-GV-7 | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Trend Analysis Reporting | MON-06.2 | Mechanisms exist to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data. | null | null | Does the organization employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data? | 5 | Detect | null | null | X | There is no evidence of a capability to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data. | SP-CMM1 is N/A, since a structured process is required to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data. | SP-CMM2 is N/A, since a well-defined process is required to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems.
• Administrative processes exist and a SIEM, or similar automated tool, is configured to perform trend analysis to assist in the determination if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data.
• The organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CA-7(3) | null | null | null | CA-7(3) | null | null | null | null | CA-7(3) | null | null | null | null | null | CA-7(3) | null | null | null | null | CA-7(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.1.9 | null | null | null | null | null | SITUATION-3.B.MIL2
SITUATION-3.C.MIL2
SITUATION-3.D.MIL3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CA-7(3) | null | null | CA-7(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | 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-EX-6
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | null | null | null | null | null | null | R-AM-3 | R-BC-1 | R-BC-2 | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | null | 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 | null | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Time Stamps | MON-07 | Mechanisms exist to configure systems to use an authoritative time source to generate time stamps for event logs. | null | null | Does the organization configure systems to use an authoritative time source to generate time stamps for event logs? | 10 | Detect | null | null | X | There is no evidence of a capability to configure systems to use an authoritative time source to generate time stamps for event logs. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems.
• Secure baseline configurations use internal system clocks to generate time stamps for security event logs that are synchronized with an authoritative time source. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems.
• Secure baseline configurations use internal system clocks to generate time stamps for security event logs that are synchronized with an authoritative time source. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure systems to use an authoritative time source to generate time stamps for event logs. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure systems to use an authoritative time source to generate time stamps for event logs. | null | null | null | null | null | null | null | null | null | LOG-06 | null | null | null | CR 2.11 (6.13.1) | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.5 | null | null | null | null | null | null | AU-8 | AU-8 | AU-8 | AU-8 | AU-8 | null | AU-8 | AU-8 | AU-8 | null | null | AU-8 | AU-8 | AU-8 | null | null | null | null | null | null | null | null | 3.3.2.a.2
3.3.7.a
3.3.7.b
3.3.7.b.1
3.3.7.b.2
3.3.7.b.3 | 3.3.7[a]
3.3.7[b] | A.03.03.07.b[01]
A.03.03.07.b[02]
A.03.03.07.ODP[01] | null | null | null | null | A09:2021 | 10.4
10.4.1
10.4.2
10.4.3 | 10.2
10.6
10.6.1
10.6.2
10.6.3 | null | 10.6.1
10.6.2
10.6.3 | null | null | 10.6.1
10.6.2
10.6.3 | null | 10.6.1
10.6.2
10.6.3 | 10.6.1
10.6.2
10.6.3 | null | G.6.1 | null | null | null | null | null | null | TM:SG2.SP2 | null | 5.4.4 | null | null | null | null | null | null | AU-8 | null | null | null | null | null | null | § 11.10
§ 11.10(b)
§ 11.10(c)
§ 11.10(e) | AU-8 | AU-8 | AU-8 | AU-8 | AU-8 | AU-8 | AU-8 | AU-8 | AU-8 | AU-8 | null | null | null | null | null | null | null | null | null | AU-8 | null | null | 8-602 | null | null | null | null | null | null | AU-8 | AU-8 | AU-8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-8 | AU-8 | AU-8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-3-3-4 | null | null | null | null | null | 8.7.5 [MP.INFO.5] | null | null | null | null | C1.a
C1.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AM-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | null | null | null | null | null | R-AM-3 | null | null | null | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | null | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Synchronization With Authoritative Time Source | MON-07.1 | Mechanisms exist to synchronize internal system clocks with an authoritative time source. | - Network Time Protocol (NTP) | null | Does the organization synchronize internal system clocks with an authoritative time source? | 8 | Detect | null | null | X | There is no evidence of a capability to synchronize internal system clocks with an authoritative time source. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to synchronize internal system clocks with an authoritative time source. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to synchronize internal system clocks with an authoritative time source. | null | null | null | 8.4 | null | 8.4 | 8.4 | null | null | LOG-06 | null | null | null | CR 2.11 (6.13.3(1))
CR 2.11 (6.13.3(2)) | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.5 | null | null | null | null | null | null | AU-8(1) | null | AU-8(1) | AU-8(1) | SC-45
SC-45(1) | null | null | null | null | SC-45
SC-45(1) | null | SC-45 | SC-45 | SC-45 | null | null | null | null | null | null | null | 3.3.7 | 3.3.7.a
3.3.7.b
3.3.7.b.1
3.3.7.b.2
3.3.7.b.3 | 3.3.7[b]
3.3.7[c] | A.03.03.07.a | null | null | null | null | A09:2021 | null | 10.6
10.6.1
10.6.2
10.6.3 | null | 10.6.1
10.6.2
10.6.3 | null | null | 10.6.1
10.6.2
10.6.3 | null | 10.6.1
10.6.2
10.6.3 | 10.6.1
10.6.2
10.6.3 | null | G.6 | null | null | null | null | null | null | null | null | null | null | AU.L2-3.3.7 | AU.L2-3.3.7 | null | AU.L2-3.3.7 | AU.L2-3.3.7 | AU-8(1) | null | null | null | null | null | null | § 11.10
§ 11.10(b)
§ 11.10(c)
§ 11.10(e) | AU-8(1) | null | AU-8(1) | AU-8(1) | null | SC-45
SC-45(1) | null | SC-45
SC-45(1) | SC-45
SC-45(1) | null | null | null | null | null | null | null | null | null | null | SC-45
SC-45(1) | null | null | null | null | null | null | null | null | null | AU-8(1) | AU-8(1) | AU-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-3-3-4 | null | null | null | null | null | null | null | null | null | null | C1.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-1
R-AM-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | null | null | null | null | null | R-AM-3 | null | null | null | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | null | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - Added NIST 800-53 R5 mapping for SC-45 |
Continuous Monitoring | Protection of Event Logs | MON-08 | Mechanisms exist to protect event logs and audit tools from unauthorized access, modification and deletion. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Security Incident Event Manager (SIEM)
- Splunk | null | Does the organization protect event logs and audit tools from unauthorized access, modification and deletion? | 10 | Detect | null | X | X | There is no evidence of a capability to protect event logs and audit tools from unauthorized access, modification and deletion. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• Secure baseline configurations restrict access to event logs from privileged users to protect event logs and audit tools from unauthorized access, modification and deletion. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect event logs and audit tools from unauthorized access, modification and deletion. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect event logs and audit tools from unauthorized access, modification and deletion. | PI1.4
PI1.5 | null | null | null | null | null | null | null | null | IAM-12
LOG-02
LOG-09 | MON-04
MON-05 | null | null | CR 3.9 (7.11.1)
CR 6.1 (10.3.3(1)) | null | null | null | null | 12.4.2 | 8.15 | 12.4.2 | null | 6.9.4.2 | null | null | null | null | TS-1.5 | null | null | null | null | null | null | AU-9 | AU-9 | AU-9 | AU-9 | AU-9 | null | AU-9 | AU-9 | AU-9 | null | null | AU-9 | AU-9 | AU-9 | null | null | null | null | null | null | null | 3.3.8 | 3.3.3.b
3.3.6.b
3.3.8.a
3.3.8.b | 3.3.8[a]
3.3.8[b]
3.3.8[c]
3.3.8[d]
3.3.8[e]
3.3.8[f] | A.03.03.03.b
A.03.03.06.b
A.03.03.08.a
A.03.03.08.b | null | null | null | null | A01:2021
A09:2021 | 10.5
10.5.1
10.5.2
10.5.3
10.5.4
10.5.5 | 10.3
10.3.1
10.3.2 | null | 10.3.1
10.3.2 | null | null | 10.3.1
10.3.2 | null | 10.3.1
10.3.2 | 10.3.1
10.3.2 | null | M.1.59 | null | null | null | null | null | null | TM:SG2.SP2 | 3.2 | 5.4.5 | null | AU.L2-3.3.8 | AU.L2-3.3.8 | null | AU.L2-3.3.8 | AU.L2-3.3.8 | AU-9 | null | null | null | null | null | null | § 11.10
§ 11.10(b)
§ 11.10(c)
§ 11.10(e) | AU-9 | AU-9 | AU-9 | AU-9 | AU-9 | AU-9 | AU-9 | AU-9 | AU-9 | AU-9 | null | null | null | null | null | null | null | null | null | AU-9 | null | null | 8-602 | 3.1 | null | null | null | null | 5.4 | AU-9 | AU-9 | AU-9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9 | AU-9 | AU-9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-16 | null | null | null | 21.4
21.14
21.16 | null | null | null | null | null | null | null | null | null | null | null | 2-3-1-8
2-11-1-5
2-11-2 | null | null | 2-12-3-5
2-14-3-3 | 2-3-1-10 | null | null | null | null | 7.3.10 [OP.EXP.10] | null | null | null | null | C1.b | null | null | null | null | null | null | Principle 5.16
Principle 7.9 | null | null | 0859
0991
1714
1715
1663
1747
1758
1775
1776
1777
1815 | null | null | null | null | null | null | null | null | null | null | 12.4.2 | null | null | 16.6.13.C.01
16.6.13.C.02
16.6.13.C.03
16.6.13.C.04 | null | null | null | null | null | null | null | null | null | null | 6.21 | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | 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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Event Log Backup on Separate Physical Systems / Components | MON-08.1 | Mechanisms exist to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Security Incident Event Manager (SIEM)
- Splunk | null | Does the organization back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool? | 5 | Detect | null | X | X | There is no evidence of a capability to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool. | SP-CMM1 is N/A, since a structured process is required to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool. | null | null | null | null | null | null | null | null | null | LOG-09 | MON-06 | null | null | CR 3.9 (7.11.3(1)) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-4(1)
AU-9(2) | null | null | AU-9(2) | AU-4(1)
AU-9(2) | null | null | null | AU-9(2) | AU-4(1) | null | AU-4(1) | AU-4(1) | AU-4(1)
AU-9(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A09:2021 | null | 10.3.3 | null | 10.3.3 | null | null | 10.3.3 | null | 10.3.3 | 10.3.3 | null | M.1.57 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9(2) | null | AU-9(2) | AU-9(2) | null | AU-9(2) | null | null | AU-9(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.14
21.15
21.17 | null | null | null | null | null | null | null | null | null | null | null | 2-11-1-5
2-11-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.6.13.C.01
16.6.13.C.02
16.6.13.C.03
16.6.13.C.04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AM-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4
R-SA-1 | null | null | null | null | null | null | R-AM-3 | null | null | null | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | null | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | - Added NIST 800-53 R5 mapping for AU-4(1) |
Continuous Monitoring | Access by Subset of Privileged Users | MON-08.2 | Mechanisms exist to restrict access to the management of event logs to privileged users with a specific business need. | - Security Incident Event Manager (SIEM)
- Splunk | null | Does the organization restrict access to the management of event logs to privileged users with a specific business need? | 8 | Detect | null | X | X | There is no evidence of a capability to restrict access to the management of event logs to privileged users with a specific business need. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• Secure baseline configurations restrict access to event logs from privileged users to protect event logs and audit tools from unauthorized access, modification and deletion. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict access to the management of event logs to privileged users with a specific business need. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to the management of event logs to privileged users with a specific business need. | null | null | null | null | null | null | null | null | null | LOG-04 | MON-04
MON-05 | null | null | CR 6.1 (10.3.1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9(4) | null | AU-9(4) | AU-9(4) | AU-9(4) | null | null | AU-9(4) | AU-9(4) | null | null | null | AU-9(4) | AU-9(4) | null | null | null | null | null | null | null | 3.3.9 | 3.3.8.b | 3.3.9[a]
3.3.9[b] | null | null | null | null | null | A09:2021 | null | 10.3
10.3.1
10.3.2 | null | 10.3.1
10.3.2 | null | null | 10.3.1
10.3.2 | null | 10.3.1
10.3.2 | 10.3.1
10.3.2 | null | U.1.11.2 | null | null | null | null | null | null | null | null | null | null | AU.L2-3.3.9 | AU.L2-3.3.9 | null | AU.L2-3.3.9 | AU.L2-3.3.9 | AU-9(4) | null | null | null | null | null | null | null | AU-9(4) | null | AU-9(4) | AU-9(4) | null | AU-9(4) | null | AU-9(4) | AU-9(4) | null | null | null | null | null | null | null | null | null | null | AU-9(4) | null | null | null | null | null | null | null | null | 5.4 | null | null | AU-9(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-16 | null | null | null | 21.14 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Cryptographic Protection of Event Log Information | MON-08.3 | Cryptographic mechanisms exist to protect the integrity of event logs and audit tools. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Are cryptographic mechanisms utilized to protect the integrity of event logs and audit tools? | 5 | Protect | null | null | X | There is no evidence of a capability to Cryptographic protect the integrity of event logs and audit tools. | SP-CMM1 is N/A, since a structured process is required to Cryptographic protect the integrity of event logs and audit tools. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic protect the integrity of event logs and audit tools. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the integrity of event logs and audit tools. | null | null | null | null | null | null | null | null | null | LOG-04
LOG-09 | MON-05 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9(3) | null | null | AU-9(3) | AU-9(3) | null | null | null | AU-9(3) | null | null | null | null | AU-9(3) | null | null | null | null | null | null | null | null | 3.3.8.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.59 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9(3) | null | null | AU-9(3) | null | AU-9(3) | null | null | AU-9(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Dual Authorization for Event Log Movement | MON-08.4 | Automated mechanisms exist to enforce dual authorization for the movement or deletion of event logs. | null | null | Does the organization use automated mechanisms to enforce dual authorization for the movement or deletion of event logs? | 5 | Protect | null | X | X | There is no evidence of a capability to enforce dual authorization for the movement or deletion of event logs. | SP-CMM1 is N/A, since a structured process is required to enforce dual authorization for the movement or deletion of event logs. | SP-CMM2 is N/A, since a well-defined process is required to enforce dual authorization for the movement or deletion of event logs. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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 enforce dual authorization for the movement or deletion of event logs. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-9(5) | null | null | null | AU-9(5) | null | null | null | null | AU-9(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.1e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.4.3.4 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.1.1e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | 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 | null | null | null |
Continuous Monitoring | Non-Repudiation | MON-09 | Mechanisms exist to utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Does the organization utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action? | 8 | Protect | null | null | X | There is no evidence of a capability to utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action. | null | null | null | null | null | null | null | null | null | null | null | null | null | CR 2.12 (6.14.1)
CR 2.12 (6.14.3(1)) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-10 | null | null | AU-10 | AU-10 | null | null | null | AU-10 | null | null | null | null | AU-10 | null | AU-10 | null | null | null | null | AU-10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | L.24.5.2 | null | null | null | null | null | null | TM:SG2.SP2 | null | null | null | null | null | null | null | null | AU-10 | null | null | null | null | null | null | null | AU-10 | null | null | AU-10 | null | AU-10 | null | null | AU-10 | null | null | null | null | null | null | null | null | null | null | null | null | null | 8-602 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 26 | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.14 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 14.2.1
14.2.2
14.2.3
14.2.4
14.2.5
14.2.6
14.2.7
14.2.8
14.2.9
14.2.10
14.2.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AM-3
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Identity Binding | MON-09.1 | Mechanisms exist to bind the identity of the information producer to the information generated. | null | null | Does the organization bind the identity of the information producer to the information generated? | 4 | Protect | null | X | X | There is no evidence of a capability to bind the identity of the information producer to the information generated. | SP-CMM1 is N/A, since a structured process is required to bind the identity of the information producer to the information generated. | SP-CMM2 is N/A, since a well-defined process is required to bind the identity of the information producer to the information generated. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to bind the identity of the information producer to the information generated. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to bind the identity of the information producer to the information generated. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-10(1)
AU-10(2) | null | null | null | null | null | null | null | null | null | null | AU-10(1)
AU-10(2) | null | null | null | AU-10(1)
AU-10(2) | AU-10(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.5.5.6.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AM-3
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | null | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Event Log Retention | MON-10 | Mechanisms exist to retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | E-AST-11 | Does the organization retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements? | 10 | Detect | null | X | X | There is no evidence of a capability to retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. | C1.2 | null | null | 8.10 | null | 8.10 | 8.10 | null | null | LOG-04
LOG-09 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-1.1
TS-1.5 | null | null | null | null | null | null | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | null | null | AU-11 | AU-11 | AU-11 | null | null | null | null | null | null | null | 3.3.1 | 3.3.3.b | 3.3.1[e]
3.3.1[f] | A.03.03.03.b | null | null | null | null | A09:2021 | 10.7 | 10.5
10.5.1 | null | 10.5.1 | null | null | 10.5.1 | null | 10.5.1 | 10.5.1 | null | U.1.11.1 | null | null | null | null | null | null | COMP:SG3.SP1
COMP:SG3.SP2 | null | 5.4.6
5.4.7 | null | AU.L2-3.3.1 | AU.L2-3.3.1 | null | AU.L2-3.3.1 | AU.L2-3.3.1 | AU-11 | null | null | null | null | null | null | null | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | AU-11 | null | null | null | null | null | null | null | null | null | AU-11 | null | null | 8-602 | null | null | null | null | null | null | AU-11 | AU-11 | AU-11 | III.D.3.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-11 | AU-11 | AU-11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-14 | null | null | null | 21.4
21.15
21.17 | null | null | null | null | null | null | null | null | null | null | null | 2-11-2 | TPC-75 | null | 2-12-3-5
2-14-3-3 | null | null | null | null | null | null | null | null | null | null | C1.b | null | null | null | null | null | null | null | null | null | 0859
0991 | null | null | null | null | null | Article 19 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AM-3
R-EX-6
R-GV-1
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | null | R-EX-6 | null | R-GV-1 | null | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | R-IR-2 | R-IR-3 | null | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Monitoring For Information Disclosure | MON-11 | Mechanisms exist to monitor for evidence of unauthorized exfiltration or disclosure of non-public information. | - Content filtering solution
- Review of social media outlets | null | Does the organization monitor for evidence of unauthorized exfiltration or disclosure of non-public information? | 8 | Detect | null | X | X | There is no evidence of a capability to monitor for evidence of unauthorized exfiltration or disclosure of non-public information. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor for evidence of unauthorized exfiltration or disclosure of non-public information. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor for evidence of unauthorized exfiltration or disclosure of non-public information. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-13 | null | null | null | AU-13 | null | null | null | null | AU-13 | null | null | null | null | null | AU-13 | null | AU-13 | null | AU-13 | AU-13 | null | 3.1.22.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.10.8 | null | null | null | null | null | null | IMC:SG2.SP1
KIM:SG4.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8-602 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Analyze Traffic for Covert Exfiltration | MON-11.1 | Automated mechanisms exist to analyze network traffic to detect covert data exfiltration. | null | null | Does the organization use automated mechanisms to analyze network traffic to detect covert data exfiltration? | 5 | Detect | null | X | X | There is no evidence of a capability to analyze network traffic to detect covert data exfiltration. | SP-CMM1 is N/A, since a structured process is required to analyze network traffic to detect covert data exfiltration. | SP-CMM2 is N/A, since a well-defined process is required to analyze network traffic to detect covert data exfiltration. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-4(18) | null | null | null | SI-4(18) | null | null | null | null | SI-4(18) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.14.2e | null | null | null | null | null | 11.5.1.1 | null | null | null | null | null | null | null | 11.5.1.1 | null | D.10.17.1 | null | null | null | null | null | ARCHITECTURE-5.F.MIL2 | null | null | null | null | null | TBD - 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | SI-4(18) | null | null | SI-4(18) | null | SI-4(18) | null | SI-4(18) | SI-4(18) | null | null | null | null | null | null | null | null | null | null | SI-4(18) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AM-1
R-AM-3
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | null | R-AM-1 | null | R-AM-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Continuous Monitoring | Unauthorized Network Services | MON-11.2 | Automated mechanisms exist to detect unauthorized network services and alert incident response personnel. | null | null | Does the organization use automated mechanisms to detect unauthorized network services and alert incident response personnel? | 5 | Detect | null | X | X | There is no evidence of a capability to detect unauthorized network services and alert incident response personnel. | SP-CMM1 is N/A, since a structured process is required to detect unauthorized network services and alert incident response personnel. | SP-CMM2 is N/A, since a well-defined process is required to detect unauthorized network services and alert incident response personnel. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | null | null | null | null | null | null | LOG-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-4(22) | null | null | null | SI-4(22) | null | null | null | SI-4(22) | null | null | null | null | SI-4(22) | null | null | null | null | null | null | null | null | null | null | null | 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.10.18 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | SI-4(22) | null | null | SI-4(22) | null | SI-4(22) | null | null | SI-4(22) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AM-1
R-AM-2
R-AM-3
R-BC-4
R-GV-1
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | null | R-AM-1 | R-AM-2 | R-AM-3 | null | null | null | R-BC-4 | null | null | null | null | null | null | null | null | R-GV-1 | null | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | 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 | null | null | null |
Continuous Monitoring | Monitoring for Indicators of Compromise (IOC) | MON-11.3 | Automated mechanisms exist to identify and alert on Indicators of Compromise (IoC). | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Does the organization use automated mechanisms to identify and alert on Indicators of Compromise (IoC)? | 5 | Detect | null | X | X | There is no evidence of a capability to identify and alert on Indicators of Compromise (IoC). | SP-CMM1 is N/A, since a structured process is required to identify and alert on Indicators of Compromise (IoC). | SP-CMM2 is N/A, since a well-defined process is required to identify and alert on Indicators of Compromise (IoC). | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | Continuous Monitoring (MON) 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. | Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | null | null | null | null | null | null | null | null | null | LOG-11
LOG-13 | IAM-08
MON-01
MON-09 | null | null | null | RQ-08-03 | null | null | null | null | 5.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-4(24) | null | null | null | SI-4(24) | null | null | null | null | SI-4(24) | null | null | null | null | null | null | null | null | null | null | null | null | 3.14.6.a
3.14.6.a.1
3.14.6.a.2
3.14.6.b
3.14.6.c | null | null | 3.11.2e
3.11.3e
3.14.6e | null | null | DE.AE-07 | null | null | null | null | null | null | null | null | null | null | null | null | D.10.4 | null | null | null | null | null | SITUATION-2.D.MIL2
SITUATION-2.E.MIL2
SITUATION-2.F.MIL2
SITUATION-2.G.MIL3
SITUATION-2.H.MIL3
SITUATION-2.I.MIL3
RESPONSE-1.D.MIL3
RESPONSE-1.E.MIL3
RESPONSE-1.F.MIL3 | null | null | null | null | null | TBD - 3.11.2e
TBD - 3.11.3e
TBD - 3.14.6e | null | null | RA.L3-3.11.2e
RA.L3-3.11.3e
SI.L3-3.14.6e | null | null | null | null | null | null | null | null | SI-4(24) | null | null | SI-4(24) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-4(24) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.5(38)
3.4.5(38)(a)
3.4.5(38)(b)
3.4.5(38)(c) | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C1.a
C2.a | null | null | null | null | null | null | null | null | null | 0120 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 11.3.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-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 | null | null | null | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | 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 | null | null | null |
Continuous Monitoring | Session Audit | MON-12 | Mechanisms exist to provide session audit capabilities that can:
▪ Capture and log all content related to a user session; and
▪ Remotely view all content related to an established user session in real time. | - NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization provide session audit capabilities that can:
▪ Capture and log all content related to a user session; and
▪ Remotely view all content related to an established user session in real time? | 7 | Detect | null | X | X | There is no evidence of a capability to provide session audit capabilities that can:
▪ Capture and log all content related to a user session; and
▪ Remotely view all content related to an established user session in real time. | SP-CMM1 is N/A, since a structured process is required to provide session audit capabilities that can:
▪ Capture and log all content related to a user session; and
▪ Remotely view all content related to an established user session in real time. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide session audit capabilities that can:
▪ Capture and log all content related to a user session; and
▪ Remotely view all content related to an established user session in real time. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide session audit capabilities that can:
▪ Capture and log all content related to a user session; and
▪ Remotely view all content related to an established user session in real time. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-14 | null | null | null | AU-14 | null | null | null | null | AU-14 | null | null | null | null | null | AU-14 | null | AU-14 | null | AU-14 | AU-14 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.27.4 | null | null | null | null | null | null | TM:SG2.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8-602 | null | null | null | null | null | 5.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.10
21.18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Alternate Event Logging Capability | MON-13 | Mechanisms exist to provide an alternate event logging capability in the event of a failure in primary audit capability. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization provide an alternate event logging capability in the event of a failure in primary audit capability? | 3 | Detect | null | X | X | There is no evidence of a capability to provide an alternate event logging capability in the event of a failure in primary audit capability. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide an alternate event logging capability in the event of a failure in primary audit capability. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide an alternate event logging capability in the event of a failure in primary audit capability. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-15 | null | null | null | AU-5(5) | null | null | null | null | AU-5(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | L.3.4.1 | null | null | null | null | null | null | CTRL:SG2.SP1
TM:SG5.SP1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8-602 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
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-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 | null | null | null | null | 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 | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Cross-Organizational Monitoring | MON-14 | Mechanisms exist to coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data. | null | null | Does the organization coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data? | 3 | Detect | null | X | X | There is no evidence of a capability to coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems.
• A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data.
• the organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems.
• A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data.
• The organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-16
AU-16(1) | null | null | null | AU-16
AU-16(1) | null | null | null | null | AU-16 | null | null | null | null | null | AU-16 | null | null | null | AU-16 | AU-16 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | L.1.4 | null | null | null | null | null | null | COMP:SG3.SP1
EXD:SG3.SP4 | null | null | null | null | null | null | null | null | AU-16 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-16
AU-16(1) | null | null | 8-602 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AM-3
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | R-AC-1 | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | R-IR-2 | R-IR-3 | null | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Sharing of Event Logs | MON-14.1 | Mechanisms exist to share event logs with third-party organizations based on specific cross-organizational sharing agreements. | - Veris (incident sharing) (http://veriscommunity.net) | null | Does the organization share event logs with third-party organizations based on specific cross-organizational sharing agreements? | 5 | Detect | null | X | X | There is no evidence of a capability to share event logs with third-party organizations based on specific cross-organizational sharing agreements. | SP-CMM1 is N/A, since a structured process is required to share event logs with third-party organizations based on specific cross-organizational sharing agreements. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems.
• A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data.
• the organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems.
• A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data.
• The organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to share event logs with third-party organizations based on specific cross-organizational sharing agreements. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to share event logs with third-party organizations based on specific cross-organizational sharing agreements. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-16(2) | null | null | null | AU-16(2) | null | null | null | null | AU-16(2) | null | null | null | null | null | AU-16(2) | null | AU-16(2) | null | AU-16(2) | AU-16(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | L.1.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AU-16(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AM-3
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-IR-1
R-IR-2
R-IR-3
R-SA-1 | R-AC-1 | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | R-IR-2 | R-IR-3 | null | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Covert Channel Analysis | MON-15 | Mechanisms exist to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels. | null | null | Does the organization conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels? | 3 | Detect | null | X | X | There is no evidence of a capability to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels. | SP-CMM1 is N/A, since a structured process is required to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels. | SP-CMM2 is N/A, since a well-defined process is required to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | T1041, T1048, T1048.002, T1048.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1567 | null | null | null | null | null | null | null | SC-31 | null | null | null | SC-31 | null | null | null | null | SC-31 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 11.5.1.1 | null | null | null | null | null | null | null | 11.5.1.1 | null | N.2.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.L.F | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AM-1
R-AM-3
R-BC-2
R-BC-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 | null | null | null | null | R-AM-1 | null | R-AM-3 | null | R-BC-2 | null | null | R-BC-5 | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Anomalous Behavior | MON-16 | Mechanisms exist to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization detect and respond to anomalous behavior that could indicate account compromise or other malicious activities? | 10 | Detect | null | X | X | There is no evidence of a capability to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems.
• the organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems.
• The organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. | CC7.2 | CC7.2-POF2
CC7.2-POF3 | null | null | null | null | null | null | null | LOG-05 | CLS-08
IAM-08
MON-10
MON-11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-2(12)
SI-4(11) | null | null | AC-2(12) | AC-2(12)
IR-4(13)
SI-4(11) | null | null | null | AC-2(12) | IR-4(13)
SI-4(11) | null | null | null | AC-2(12) | null | null | null | null | null | null | null | null | 3.3.5.a
3.14.6.a
3.14.6.a.1
3.14.6.a.2
3.14.6.b
3.14.6.c | null | A.03.14.06.a.01
A.03.14.06.a.02
A.03.14.06.b | 3.14.2e | null | DE.AE-1 | DE.CM-03
DE.CM-06
DE.CM-09
DE.AE-02 | null | 10.6
10.6.1
10.6.2 | 15.1
A3.2.6.1 | null | null | null | null | null | null | null | null | null | J.1.3 | 2.9 | null | null | null | null | ACCESS-2.I.MIL3
SITUATION-2.D.MIL2
SITUATION-2.E.MIL2
SITUATION-2.F.MIL2
SITUATION-2.G.MIL3
SITUATION-2.H.MIL3
SITUATION-2.I.MIL3 | null | null | null | null | null | TBD - 3.14.2e | null | null | null | null | null | null | null | null | null | null | null | AC-2(12)
SI-4(11) | null | AC-2(12) | AC-2(12)
SI-4(11) | null | AC-2(12)
SI-4(11) | null | AC-2(12) | AC-2(12)
SI-4(11) | null | null | D3.DC.Ev.B.1
D4.C.Co.B.4 | null | null | null | null | null | 3.M.C | 3.M.C
1.L.C
4.L.B
6.L.B
8.L.D
8.L.E | AC-2(12)
SI-4(11) | null | null | null | null | null | null | null | null | 5.6
5.7 | null | null | AC-2(12) | III.D
III.D.2.b | null | null | null | null | null | null | null | null | null | null | null | Sec 4(2)(b)(ii)(C)(2) | null | null | null | null | null | null | AC-2(12) | null | null | § 2447(c)(4) | 3.4.5(38)
3.4.5(38)(a)
3.4.5(38)(b)
3.4.5(38)(c) | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.5 | null | null | null | null | 4.7
21.10
21.20 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-80 | null | null | 2-3-1-12 | null | null | null | null | null | null | null | null | null | C1.a
C2.a | C1
C2 | null | null | null | null | null | null | null | null | 1660
1661
1662
1664
1665
1757 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 9.2.2
11.5.5
12.2.4 | null | null | null | null | null | null | null | null | 3.3.2 | null | null | null | null | null | null | null | null | null | null | x | null | x | 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-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Insider Threats | MON-16.1 | Mechanisms exist to monitor internal personnel activity for potential security incidents. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization monitor internal personnel activity for potential security incidents? | 8 | Detect | null | X | X | There is no evidence of a capability to monitor internal personnel activity for potential security incidents. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor internal personnel activity for potential security incidents. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor internal personnel activity for potential security incidents. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | DE.CM-3 | null | null | null | A3.2.6.1 | null | null | null | null | null | null | null | null | null | J.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D3.DC.An.A.3 | null | null | null | null | null | null | 1.L.C | null | null | null | null | null | null | null | null | null | 5.6
5.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1625 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | 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-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Third-Party Threats | MON-16.2 | Mechanisms exist to monitor third-party personnel activity for potential security incidents. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization monitor third-party personnel activity for potential security incidents? | 8 | Detect | null | X | X | There is no evidence of a capability to monitor third-party personnel activity for potential security incidents. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor third-party personnel activity for potential security incidents. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor third-party personnel activity for potential security incidents. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | DE.CM-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | J.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D4.RM.Om.Int.1 | null | null | null | null | null | null | 1.L.C | null | null | null | null | null | null | null | null | null | 5.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | 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-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Unauthorized Activities | MON-16.3 | Mechanisms exist to monitor for unauthorized activities, accounts, connections, devices and software. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization monitor for unauthorized activities, accounts, connections, devices and software? | 8 | Detect | null | X | X | There is no evidence of a capability to monitor for unauthorized activities, accounts, connections, devices and software. | Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor for unauthorized activities, accounts, connections, devices and software. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor for unauthorized activities, accounts, connections, devices and software. | null | null | null | 2.3 | 2.3 | 2.3 | 2.3 | null | null | LOG-11
LOG-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A.03.14.06.a.02 | null | null | DE.CM-7 | null | null | null | A3.2.6.1 | null | null | null | null | null | null | null | null | null | J.3.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D3.DC.Ev.B.3 | null | null | null | null | null | null | 1.L.A
6.L.B
6.L.D
9.L.B | null | null | null | null | null | null | null | null | null | 5.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 21.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-3-1-11
2-3-1-12 | null | null | null | null | null | null | null | null | null | C1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | 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-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Continuous Monitoring | Account Creation and Modification Logging | MON-16.4 | Automated mechanisms exist to generate event logs for permissions changes to privileged accounts and/or groups. | null | null | Does the organization use automated mechanisms to generate event logs for permissions changes to privileged accounts and/or groups? | 7 | Detect | null | null | X | There is no evidence of a capability to generate event logs for permissions changes to privileged accounts and/ or groups. | SP-CMM1 is N/A, since a structured process is required to generate event logs for permissions changes to privileged accounts and/ or groups. | Continuous Monitoring (MON) 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:
• Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.
• IT/cybersecurity personnel:
o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management.
o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets.
o Use a structured process to review and analyze logs.
• A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. | Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• An IT Asset Management (ITAM) function, or similar function:
o Governs asset management that ensures compliance with requirements for asset management.
o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets.
• A Security Incident Event Manager (SIEM), or similar automated tool:
o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms.
o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability.
o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events.
• Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate event logs for permissions changes to privileged accounts and/ or groups. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate event logs for permissions changes to privileged accounts and/ or groups. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1650
1651
1652 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-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 | 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 | null | null |
Cryptographic Protections | Use of Cryptographic Controls | CRY-01 | Mechanisms exist to facilitate the implementation of cryptographic protections controls using known public standards and trusted cryptographic technologies. | - Key and certificate management solutions
- Microsoft BitLocker (https://www.microsoft.com/en-us/download/details.aspx?id=53006)
- Symantec Endpoint Encryption (https://www.symantec.com/products/endpoint-protection)
- Vormetric Transparent Encryption (https://www.thalesesecurity.com/products/data-encryption/vormetric-transparent-encryption) | null | Does the organization facilitate the implementation of cryptographic protections controls using known public standards and trusted cryptographic technologies? | 10 | Protect | X | X | X | There is no evidence of a capability to facilitate the implementation of cryptographic protections controls using known public standards and trusted cryptographic technologies. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, 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 cryptographic protections.
• The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures for cryptographic protections.
• 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 using cryptographic protections.
• A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including cryptographic protections.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols. | Cryptographic Protections (CRY) 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 cryptographic protections controls using known public standards and trusted cryptographic technologies. | CC6.1 | CC6.1-POF9 | null | 3.6
3.9
3.10 | 3.6 | 3.6
3.9
3.10 | 3.6
3.9
3.10 | null | null | CEK-01
CEK-02
CEK-03
CEK-04
DSP-10
LOG-10
LOG-11 | CLS-01
IAM-12
IOT-10
SAP-07
SWS-08 | null | null | CR 4.1 (8.3.1(a))
CR 4.3 (8.5.1) | null | null | null | null | 10.1.1
14.1.2 | 8.24
8.26 | 10.1.1
14.1.2 | null | 6.7
6.7.1
6.7.1.1 | null | null | null | T1005, T1025, T1041, T1048.003 | TS-1.0
TS-1.9
TS-1.15
TS-3.0 | Sec 4(D)(2)(d) | null | PR.DS-P1
PR.DS-P2 | null | null | null | SC-8(1)
SC-8(2)
SC-13
SC-13(1)
SI-7(6) | SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-8(2)
SC-13
SI-7(6) | null | SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-13 | SC-8(2)
SI-7(6) | null | SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-13 | null | null | null | null | null | null | null | 3.13.11 | 3.13.8
3.13.11 | 3.13.8[a]
3.13.11 | A.03.13.11
A.03.13.11.ODP[01] | 3.14.1e | null | PR.DS-1
PR.DS-2 | PR.DS-01
PR.DS-02 | A02:2021 | 2.2.3
4.1 | 3.3.2
8.3.2
12.3.3 | null | 8.3.2 | null | null | 8.3.2 | null | 3.3.2
8.3.2
12.3.3 | 3.3.2
8.3.2
12.3.3 | null | I.3.6.1
| 2.1
2.4A
2.6
5.2 | 5.1
5.1.1
5.1.2 | 10.3 | 7.3.8 | 7.3.8 | ARCHITECTURE-5.B.MIL2
ARCHITECTURE-5.C.MIL2
ARCHITECTURE-5.D.MIL2
ARCHITECTURE-5.G.MIL3 | KIM:SG4.SP1 | 3.3
3.4 | 5.10.1.2
5.10.1.2.1 | null | SC.L2-3.13.11 | SC.L2-3.13.11
TBD - 3.14.1e | null | SC.L2-3.13.11 | SC.L2-3.13.11
SI.L3-3.14.1e | SC-8(2)
SC-13 | null | null | null | null | null | null | § 11.10
§ 11.10(c) | SC-8(1)
SC-13 | SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-13 | SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-13 | SC-8(1)
SC-13 | null | null | null | null | 314.4(c)(3) | 164.312(a)(2)(iv) | null | 1.M.C
2.M.A
4.M.C
9.M.B | 1.M.C
2.M.A
4.M.C
9.M.B
1.L.A
1.L.B | 2.E.3
SC-13 | 120.54(a)(5) | null | 9-400 | 18.1
18.2
18.3
19.1
19.2
19.3 | null | null | null | null | 5.8 | SC-13 | SC-13 | SC-13 | null | null | null | null | null | null | null | null | null | null | null | 500.15 | null | null | 38-99-20(D)(2)(d) | null | null | SC-13 | null | SC-13 | null | null | § 2447(c)(3)
§ 2447(c)(5) | 3.4.4(36)(f) | null | Art 5 | Art 5.1
Art 32.1
Art 32.2 | Article 21.2(h) | Art 20
Art 30 | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | null | CRY-01 | null | null | null | 8.1
8.8
15.7
21.16 | null | null | null | null | null | null | null | null | null | null | null | 2-7
2-7-1-3 | TPC-52
TPC-54 | 3.3.9 | 2-8-1
2-8-2
2-8-3
2-8-3-1
2-8-4 | 2-2-1-4
2-7
2-7-1
2-7-2 | null | null | Sec 14.1
Sec 19.1
Sec 19.2 | null | 8.4.2 [MP.COM.2]
8.4.3 [MP.COM.3]
8.5.2 [MP.SI.2]
8.7.3 [MP.INFO.3]
8.7.4 [MP.INFO.4] | null | null | null | null | B3.b
B3.c | null | null | null | null | null | null | null | null | null | 0457
0460
0471
0994
0472
0473
1146
0474
0475
0476
0477
0479
0481
0501
0142
1091
0499
1759
1629
1630
1760
1446
1761
1762
1763
1764
1765
1766
1767
1768
1769
1770
1771
1772 | null | null | null | null | null | null | null | null | null | null | 10.1.1
10.1.1.9.PB
14.1.2 | null | 15.1 | 8.4.13.C.01
17.1.52.C.01
17.1.52.C.02
17.1.53.C.01
17.1.53.C.02
17.1.53.C.03
17.1.53.C.04
17.1.54.C.01
17.1.55.C.01
17.1.55.C.02
17.1.55.C.03
17.1.55.C.04
17.1.56.C.01
17.1.56.C.02
17.1.57.C.01
17.2.17.C.01
17.2.18.C.01
17.2.19.C.01
17.2.20.C.01
17.2.20.C.02
17.2.21.C.01
17.2.22.C.01
17.2.22.C.02
17.2.23.C.01
17.2.24.C.01
17.2.24.C.02
17.2.24.C.03
17.2.25.C.01
17.2.26.C.01
17.2.26.C.02
17.2.26.C.03
17.2.27.C.01
17.2.27.C.02
17.2.27.C.03
17.2.28.C.01
17.3.6.C.01
17.4.16.C.01
17.4.16.C.02
17.5.6.C.01
17.6.6.C.01
17.6.7.C.01
17.7.6.C.01
17.8.10.C.01
17.8.10.C.02
17.8.11.C.01
17.8.12.C.01
17.8.13.C.01
17.8.14.C.01
17.8.15.C.01
17.8.16.C.01
17.8.17.C.01
17.9.24.C.01
17.9.24.C.02
17.9.24.C.03
17.9.25.C.01
17.9.26.C.01
17.9.26.C.02
17.9.27.C.01
17.9.27.C.02
17.9.27.C.03
17.9.28.C.01
17.9.29.C.01
17.9.30.C.01
17.9.30.C.02
17.9.31.C.01
17.9.32.C.01
17.9.32.C.02
17.9.32.C.03 | null | null | null | null | 10.1.1
10.1.2
10.1.3
10.1.4
10.1.5 | null | null | null | null | null | 6.22 | null | null | 3.2.2 | null | null | null | null | null | null | null | null | null | null | x | NAIC
Lockton | x | x | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15
MT-16 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | MT-16 | null |
Cryptographic Protections | Alternate Physical Protection | CRY-01.1 | Cryptographic mechanisms exist to prevent unauthorized disclosure of information as an alternative to physical safeguards. | null | null | Are cryptographic mechanisms utilized to prevent unauthorized disclosure of information as an alternative to physical safeguards? | 5 | Protect | null | X | null | There is no evidence of a capability to Cryptographic prevent unauthorized disclosure of information as an alternative to physical safeguards. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic prevent unauthorized disclosure of information as an alternative to physical safeguards. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic prevent unauthorized disclosure of information as an alternative to physical safeguards. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-8(1) | null | SC-8(1) | SC-8(1) | SC-8(1) | null | null | SC-8(1) | SC-8(1) | null | null | null | SC-8(1) | SC-8(1) | null | null | null | null | null | null | null | 3.13.8 | 3.13.8 | 3.13.8[b]
3.13.8[c] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | I.3.6.1
| null | null | null | null | null | ARCHITECTURE-5.G.MIL3 | null | null | null | null | SC.L2-3.13.8 | SC.L2-3.13.8 | null | SC.L2-3.13.8 | SC.L2-3.13.8 | SC-8(1) | null | null | null | null | null | null | null | SC-8(1) | null | SC-8(1) | SC-8(1) | null | SC-8(1) | SC-8(1) | SC-8(1) | SC-8(1) | SC-8(1) | null | null | null | null | null | null | null | 2.M.A
4.M.C
5.M.C | 2.M.A
4.M.C
5.M.C | null | null | null | null | null | null | null | null | null | null | null | null | SC-8(1) | null | null | null | null | null | null | null | null | null | 17.04(3) | null | null | null | 622(2)(d)(C)(iii) | null | null | null | null | null | SC-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B3.b
B3.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MA 201 CMR 17
OR 6464A | null | null | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-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 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Export-Controlled Technology | CRY-01.2 | Mechanisms exist to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements. | null | null | Does the organization address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements? | 5 | Protect | null | X | null | There is no evidence of a capability to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements. | SP-CMM1 is N/A, since a structured process is required to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• Systems, applications and services that include cryptographic mechanisms are controlled to ensure the exporting of cryptographic technologies is in compliance with relevant statutory and regulatory requirements. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 18.1.5 | 5.31 | 18.1.5 | null | 6.15.1.5 | null | null | null | null | null | null | null | null | null | null | null | SC-13 | SC-13 | SC-13 | SC-13 | SC-13 | null | SC-13 | SC-13 | SC-13 | null | null | SC-13 | SC-13 | SC-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | L.6.2 | null | null | null | null | null | null | KIM:SG4.SP1 | null | null | null | null | null | null | null | null | SC-13 | null | null | null | null | null | null | null | SC-13 | SC-13 | SC-13 | SC-13 | SC-13 | SC-13 | SC-13 | SC-13 | SC-13 | SC-13 | null | null | null | null | null | null | null | null | null | SC-13 | 120.54(a)(5) | null | 9-400 | null | null | null | null | null | null | SC-13 | SC-13 | SC-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-13 | null | SC-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 18.1.5
18.1.5.7.PB | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AM-3
R-EX-5 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | R-EX-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Pre/Post Transmission Handling | CRY-01.3 | Cryptographic mechanisms exist to ensure the confidentiality and integrity of information during preparation for transmission and during reception. | null | null | Are cryptographic mechanisms utilized to ensure the confidentiality and integrity of information during preparation for transmission and during reception? | 5 | Protect | null | null | X | There is no evidence of a capability to Cryptographic ensure the confidentiality and integrity of information during preparation for transmission and during reception. | SP-CMM1 is N/A, since a structured process is required to Cryptographic ensure the confidentiality and integrity of information during preparation for transmission and during reception. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic ensure the confidentiality and integrity of information during preparation for transmission and during reception. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic ensure the confidentiality and integrity of information during preparation for transmission and during reception. | null | null | null | null | null | null | null | null | null | null | COM-07
COM-08
COM-09 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-8(2) | null | null | null | SC-8(2) | null | null | null | null | SC-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0548 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | null | null | null | null | null | null | null | null | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Conceal / Randomize Communications | CRY-01.4 | Cryptographic mechanisms exist to conceal or randomize communication patterns. | null | null | Are cryptographic mechanisms utilized to conceal or randomize communication patterns? | 5 | Protect | null | null | X | There is no evidence of a capability to Cryptographic conceal or randomize communication patterns. | SP-CMM1 is N/A, since a structured process is required to Cryptographic conceal or randomize communication patterns. | SP-CMM2 is N/A, since a well-defined process is required to Cryptographic conceal or randomize communication patterns. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic conceal or randomize communication patterns. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic conceal or randomize communication patterns. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-8(4) | null | null | null | SC-8(4) | null | null | null | null | SC-8(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.13.3e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.13.1 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.13.3e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-BC-1
R-BC-2
R-GV-1
R-GV-4
R-GV-5 | null | null | null | null | null | null | R-AM-3 | R-BC-1 | R-BC-2 | null | null | null | null | null | null | null | null | null | null | R-GV-1 | null | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Cryptographic Cipher Suites and Protocols Inventory | CRY-01.5 | Mechanisms exist to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols. | null | null | Does the organization identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols? | 9 | Protect | X | X | X | There is no evidence of a capability to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols. | SP-CMM1 is N/A, since a structured process is required to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.3.3 | null | null | null | null | null | null | 12.3.3 | 12.3.3 | null | I.3.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-7-1-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-4
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-GV-1 | R-AC-1 | null | null | R-AC-4 | null | null | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | null | null | null | null | null | null | null | R-GV-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8
MT-9
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | null | null | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Cryptographic Module Authentication | CRY-02 | Automated mechanisms exist to enable systems to authenticate to a cryptographic module. | - Yubico (https://www.yubico.com) | null | Does the organization use automated mechanisms to enable systems to authenticate to a cryptographic module? | 8 | Protect | null | null | X | There is no evidence of a capability to enable systems to authenticate to a cryptographic module. | SP-CMM1 is N/A, since a structured process is required to enable systems to authenticate to a cryptographic module. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable systems to authenticate to a cryptographic module. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable systems to authenticate to a cryptographic module. | null | null | null | null | null | null | null | null | null | CEK-04 | IAM-22 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | T1195.003, T1495, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1553, T1553.006, T1601, T1601.001, T1601.002 | null | null | null | null | null | null | null | IA-7 | IA-7 | IA-7 | IA-7 | IA-7 | null | IA-7 | IA-7 | IA-7 | null | null | IA-7 | IA-7 | IA-7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.2.1 | 2.2.7
3.6.1.1
3.6.1.2
3.7.3 | null | 2.2.7 | null | 2.2.7 | 2.2.7 | 2.2.7 | 2.2.7
3.6.1.2
3.7.3 | 2.2.7
3.6.1.1
3.6.1.2
3.7.3 | null | D.13.5.2 | null | null | null | null | null | null | TM:SG4.SP1 | null | null | null | null | null | null | null | null | IA-7 | null | null | null | null | null | null | null | IA-7 | IA-7 | IA-7 | IA-7 | null | IA-7 | IA-7 | IA-7 | IA-7 | null | null | null | null | null | null | null | null | null | null | IA-7 | 120.54(a)(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-7 | IA-7 | IA-7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.37
12.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-8-3-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | null | null | null |
Cryptographic Protections | Transmission Confidentiality | CRY-03 | Cryptographic mechanisms exist to protect the confidentiality of data being transmitted. | - SSL / TLS protocols
- IPSEC Tunnels
- Native MPLS encrypted tunnel configurations
- Custom encrypted payloads | E-CRY-01 | Are cryptographic mechanisms utilized to protect the confidentiality of data being transmitted? | 10 | Protect | null | X | X | There is no evidence of a capability to Cryptographic protect the confidentiality of data being transmitted. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption.
• IT personnel use an informal process to design, build and maintain secure configurations for the test, development, staging and production environments, implementing cryptographic protections controls using known public standards and trusted cryptographic technologies to protect the confidentiality and integrity of the data. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• Network communications containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption.
• Instances of non-console administrative access use cryptographic mechanisms to protect the confidentiality and integrity of the data being transmitted. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• Instances of non-console administrative access use cryptographic mechanisms to protect the confidentiality and integrity of the data being transmitted.
• Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption).
• Network communications containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption. | Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality of data being transmitted. | CC6.1
CC6.7 | CC6.1-POF9
CC6.7-POF2 | null | 3.10 | null | 3.10 | 3.10 | null | null | CEK-03
DSP-10 | COM-07
COM-08
COM-09
IOT-10
SAP-07 | null | 8.2.5 | CR 4.1 (8.3.1(a)) | null | null | null | null | 10.1.1
13.2.3
14.1.2
14.1.3 | 5.14
8.24
8.26 | 10.1.1
13.2.3
14.1.2
14.1.3 | null | 6.10.2.3 | null | null | null | T1020.001, T1040, T1090, T1090.004, T1550.001, T1550.004, T1552.007, T1557, T1557.001, T1557.002, T1562.006, T1562.009, T1602, T1602.001, T1602.002 | TS-1.9
TS-1.15
TS-3.0 | Sec 4(D)(2)(d) | null | PR.DS-P2 | null | null | null | SC-8
SC-8(1) | null | SC-8 | SC-8 | SC-8
SC-8(1) | null | null | SC-8 | SC-8 | SC-8(1) | null | null | SC-8 | SC-8 | null | SC-8 | null | SC-8 | null | SC-8 | SC-8 | 3.13.8 | 3.13.8
3.13.11 | 3.13.8[a]
3.13.11 | A.03.13.08[01] | null | null | PR.DS-2 | PR.AA-04
PR.DS-02 | null | null | 4.2.1.2
8.3.2
A2.1
A2.1.1
A2.1.2 | null | 8.3.2 | null | A2.1.1 | 4.2.1.2
8.3.2
A2.1.1 | 4.2.1.2 | 4.2.1.2
8.3.2
A2.1.1 | 4.2.1.2
8.3.2
A2.1.1
A2.1.2 | null | D.5.3 | 2.1
2.4A
2.6 | 5.1.1
5.1.2 | null | null | null | ARCHITECTURE-5.C.MIL2 | KIM:SG4.SP1
KIM:SG5.SP3
SC:SG2.SP2
SC:SG2.SP3 | 3.3
3.4
8.3 | 5.10.1.2
5.10.1.2.1 | null | SC.L2-3.13.8 | null | null | SC.L2-3.13.8 | SC.L2-3.13.8 | SC-8 | null | null | null | null | null | null | § 11.10
§ 11.10(c) | SC-8 | null | SC-8 | SC-8 | null | SC-8 | SC-8 | SC-8 | SC-8 | SC-8 | null | D3.PC.Am.B.13
D3.PC.Am.E.5
D3.PC.Am.Int.7 | null | null | null | 164.312(a)(2)(iv)
164.312(e)
164.312(e)(1)
164.312(e)(2)(ii) | 1.S.A
2.S.A | 1.M.A
1.M.C
4.M.C | 1.M.A
1.M.C
4.M.C
1.L.A | 2.E.3
SC-8
SC-8(1) | 120.54(a)(5) | null | 8-605 | 18.1
19.1 | null | null | null | null | 5.8 | null | SC-8 | SC-8 | null | null | null | null | null | null | null | null | null | 17.04(3) | null | 500.15 | null | 622(2)(d)(C)(iii) | 38-99-20(D)(2)(d) | null | null | SC-8 | null | SC-8 | null | null | § 2447(c)(3) | 3.4.4(36)(f) | null | Art 5 | Art 5.1 | null | Art 20
Art 30 | null | null | null | null | null | null | null | null | null | CRY-02 | null | null | null | 4.22
8.4
8.5
8.6
9.8
9.20
12.10
13.6 | null | null | null | null | null | null | null | null | null | null | null | 2-3-1-5
2-7-1-1 | TPC-52
TPC-53 | null | 2-8-3-3 | 2-2-1-4 | null | null | Sec 14.1 | null | null | null | null | null | null | B3.b | null | null | null | null | null | null | null | null | null | 0231
0232
0547
0465
0467
0469
1139
1369
1370
1372
1448
1373
1374
1375
1553
1453
1506
0484
1781 | null | null | null | null | null | null | null | null | null | null | 10.1.1
10.1.1.9.PB
13.2.3
14.1.2
14.1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | NAIC
MA 201 CMR 17
OR 6464A
Lockton 9 | x | x | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Transmission Integrity | CRY-04 | Cryptographic mechanisms exist to protect the integrity of data being transmitted. | null | E-CRY-01 | Are cryptographic mechanisms utilized to protect the integrity of data being transmitted? | 10 | Protect | null | X | X | There is no evidence of a capability to Cryptographic protect the integrity of data being transmitted. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption.
• IT personnel use an informal process to design, build and maintain secure configurations for the test, development, staging and production environments, implementing cryptographic protections controls using known public standards and trusted cryptographic technologies to protect the confidentiality and integrity of the data. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the integrity of data being transmitted. | null | null | null | null | null | null | null | null | null | null | SAP-07 | null | null | CR 3.1 (7.3.1)
CR 3.1 (7.3.3(1)) | null | null | null | null | 10.1.1
14.1.3 | 8.24
8.26 | 10.1.1
14.1.3 | null | 6.11.1.3 | null | null | null | T1020.001, T1040, T1090, T1090.004, T1550.001, T1550.004, T1552.007, T1557, T1557.001, T1557.002, T1562.006, T1562.009, T1602, T1602.001, T1602.002 | null | null | null | PR.AC-P5
PR.DS-P6 | null | null | null | SC-8
SC-16(1)
SC-28(1) | null | SC-8 | SC-8 | SC-8
SC-16(1)
SC-28(1) | null | null | SC-8
SC-28(1) | SC-8
SC-28(1) | SC-16(1) | null | null | SC-8
SC-28(1) | SC-8
SC-28(1) | null | SC-8 | null | SC-8 | null | SC-8 | SC-8 | NFO - SI-1 | null | null | null | null | null | PR.DS-8 | null | null | 3.4
3.4.1
4.1
9.8.2 | 3.7.5 | null | null | null | null | null | null | 3.7.5 | 3.7.5 | null | D.5.2 | 2.1
2.4A
2.6 | 5.1.1
5.1.2 | null | null | null | null | KIM:SG4.SP1
KIM:SG5.SP3
SC:SG2.SP2
SC:SG2.SP3 | 3.3 | null | null | null | null | null | null | null | SC-8 | null | null | null | null | null | null | § 11.10
§ 11.10(c) | MP-5(4)
SC-8
SC-28(1) | null | SC-8
SC-28(1) | SC-8
SC-28(1) | null | SC-8
SC-28(1) | null | SC-8
SC-28(1) | SC-8
SC-28(1) | null | null | null | null | null | null | 164.312(c)
164.312(c)(1)
164.312(c)(2)
164.312(e)(2)(i) | null | null | null | SC-8
SC-28(1) | null | null | 8-605 | null | null | null | null | null | 5.9 | null | SC-8 | SC-8
SC-28(1) | null | null | null | null | null | null | null | null | null | 17.04(3) | null | null | null | 622(2)(d)(C)(iii) | null | null | null | SC-8 | null | SC-8
SC-28(1) | null | null | null | null | null | null | Art 5.1 | null | Art 20
Art 30 | null | null | null | null | null | null | null | null | null | OPS-09 | null | null | null | 4.22
9.8
9.20
12.10
13.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-4 | null | null | Sec 14.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0677 | null | null | null | null | null | null | null | null | null | null | 10.1.1
10.1.1.9.PB
14.1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | MA 201 CMR 17
OR 6464A | x | x | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Encrypting Data At Rest | CRY-05 | Cryptographic mechanisms exist to prevent unauthorized disclosure of data at rest. | - Symantec Endpoint Encryption (https://www.symantec.com/products/endpoint-protection) | null | Are cryptographic mechanisms utilized to prevent unauthorized disclosure of data at rest? | 10 | Protect | null | X | X | There is no evidence of a capability to Cryptographic prevent unauthorized disclosure of data at rest. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption.
• Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption).
• IT personnel use an informal process to design, build and maintain secure configurations for the test, development, staging and production environments, implementing cryptographic protections controls using known public standards and trusted cryptographic technologies to protect the confidentiality and integrity of the data. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption). | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption). | Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic prevent unauthorized disclosure of data at rest. | CC6.1
CC6.7 | CC6.1-POF9
CC6.7-POF2 | null | 3.6
3.11 | 3.6 | 3.6
3.11 | 3.6
3.11 | null | null | CEK-03
UEM-08 | DAT-04 | null | null | CR 4.1 (8.3.1(a)) | null | null | null | null | 10.1.1 | 8.24 | 10.1.1 | null | 6.7
6.7.1
6.7.1.1 | null | null | null | null | TS-1.15
TS-3.0 | Sec 4(D)(2)(d) | null | PR.DS-P1 | null | null | null | SC-13
SC-28
SC-28(1) | SC-13 | SC-13
SC-28 | SC-13
SC-28 | SC-13
SC-28
SC-28(1) | null | SC-13 | SC-13
SC-28 | SC-13
SC-28 | null | null | SC-13 | SC-13
SC-28 | SC-13
SC-28 | null | null | null | null | null | null | null | 3.8.6 | 3.13.8
3.13.11 | 3.8.6 | A.03.13.08[02] | 3.14.5e | null | PR.DS-1 | PR.DS-01 | null | 3.4
3.4.1 | 3.3.2
3.5.1.2
3.5.1.3
8.3.2 | null | 8.3.2 | null | null | 8.3.2 | null | 3.3.2
3.5.1.2
3.5.1.3
8.3.2 | 3.3.2
3.5.1.2
3.5.1.3
8.3.2 | null | D.24 | null | null | null | null | null | ARCHITECTURE-5.B.MIL2
ARCHITECTURE-5.G.MIL3 | KIM:SG4.SP1 | 3.3
3.4
8.3 | 5.10.1.2
5.10.1.2.2 | null | MP.L2-3.8.6 | MP.L2-3.8.6
TBD - 3.14.5e | null | MP.L2-3.8.6 | MP.L2-3.8.6 | SC-13 | null | null | null | null | null | null | § 11.10
§ 11.10(c) | SC-13 | SC-13 | SC-13 | SC-13 | SC-13 | SC-13
SC-28(1) | SC-13
SC-28(1) | SC-13
SC-28(1) | SC-13
SC-28(1) | SC-13
SC-28(1) | null | D1.G.IT.B.13
D3.PC.Am.B.14
D4.RM.Co.B.1
D3.PC.Am.A.1 | null | null | null | 164.312(a)(2)(iv) | 2.S.A | 2.M.A
4.M.C
9.M.B | 2.M.A
4.M.C
9.M.B | 2.E.3
SC-13 | 120.54(a)(5) | null | 9-400 | 18.2
19.2 | null | null | null | null | 5.9 | SC-13 | SC-13 | SC-13 | null | null | null | null | null | null | null | null | null | 17.04(5) | null | 500.15 | null | 622(2)(d)(C)(iii) | 38-99-20(D)(2)(d) | null | null | SC-13 | null | SC-13 | null | null | § 2447(c)(5) | 3.4.4(36)(f) | null | null | Art 5.1 | null | null | null | null | null | null | null | null | null | null | null | CRY-03 | null | null | null | 8.7
15.7 | null | null | null | null | null | null | null | null | null | null | null | 2-7-1-2 | null | null | 2-8-3-3 | null | null | null | Sec 14.1 | null | null | null | null | null | null | B3.c | null | null | null | null | null | null | null | null | null | 0459
1080 | null | null | null | null | null | null | null | null | null | null | 10.1.1
10.1.1.9.PB | null | null | 8.4.13.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | NAIC
MA 201 CMR 17
OR 6464A
Lockton 9 | x | null | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | - Updated CIS 8.0 |
Cryptographic Protections | Storage Media | CRY-05.1 | Cryptographic mechanisms exist to protect the confidentiality and integrity of sensitive/regulated data residing on storage media. | - Native Storage Area Network (SAN) encryption functionality
- BitLocker and EFS | null | Are cryptographic mechanisms utilized to protect the confidentiality and integrity of sensitive/regulated data residing on storage media? | 8 | Protect | null | X | X | There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of sensitive/regulated data residing on storage media. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption.
• Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption). | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of sensitive/regulated data residing on storage media. | null | null | null | 3.6 | 3.6 | 3.6 | 3.6 | null | null | UEM-08 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PR.DS-P1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.13.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.6.1 | null | null | null | null | null | ARCHITECTURE-5.G.MIL3 | null | null | 4.2.4
5.8.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.M.A | 2.M.A | null | null | null | null | 18.3
19.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CRY-03 | null | null | null | 15.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-3-1-8
2-3-1-9 | null | null | null | null | null | null | null | null | null | B3.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.4.13.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Offline Storage | CRY-05.2 | Mechanisms exist to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements. | null | null | Does the organization remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements? | 5 | Protect | null | X | X | There is no evidence of a capability to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements. | SP-CMM1 is N/A, since a structured process is required to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements. | SP-CMM2 is N/A, since a well-defined process is required to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | Cryptographic Protections (CRY) 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 remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PR.DS-P1 | null | null | null | SC-28(2) | null | null | null | SC-28(2) | null | null | null | null | SC-28(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.14.5e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.4.1 | null | null | null | null | null | null | null | null | 4.2.4 | null | null | TBD - 3.14.5e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-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 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Database Encryption | CRY-05.3 | Mechanisms exist to ensure that database servers utilize encryption to protect the confidentiality of the data within the databases. | null | null | Does the organization ensure that database servers utilize encryption to protect the confidentiality of the data within the databases? | 8 | Protect | null | null | X | There is no evidence of a capability to ensure that database servers utilize encryption to protect the confidentiality of the data within the databases. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption.
• Databases containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information in the database (e.g., column-level, Transparent Data Encryption (TDE), etc.). | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• Databases containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information in the database (e.g., column-level, Transparent Data Encryption (TDE), etc.). | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• Databases containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information in the database (e.g., column-level, Transparent Data Encryption (TDE), etc.). | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that database servers utilize encryption to protect the confidentiality of the data within the databases. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that database servers utilize encryption to protect the confidentiality of the data within the databases. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.6.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1080 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-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 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Non-Console Administrative Access | CRY-06 | Cryptographic mechanisms exist to protect the confidentiality and integrity of non-console administrative access. | null | null | Are cryptographic mechanisms utilized to protect the confidentiality and integrity of non-console administrative access? | 9 | Protect | null | null | X | There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of non-console administrative access. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• Instances of non-console administrative access use cryptographic mechanisms to protect the confidentiality and integrity of the data being transmitted. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• Instances of non-console administrative access use cryptographic mechanisms to protect the confidentiality and integrity of the data being transmitted. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic protect the confidentiality and integrity of non-console administrative access. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of non-console administrative access. | null | null | null | 4.6
12.3 | 4.6 | 4.6
12.3 | 4.6
12.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PR.DS-P2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.3 | 2.2.7 | null | 2.2.7 | null | 2.2.7 | 2.2.7 | 2.2.7 | 2.2.7 | 2.2.7 | null | I.3.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Wireless Access Authentication & Encryption | CRY-07 | Mechanisms exist to protect wireless access via secure authentication and encryption. | null | null | Does the organization protect wireless access via secure authentication and encryption? | 9 | Protect | X | X | X | There is no evidence of a capability to protect wireless access via secure authentication and encryption. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect wireless access via secure authentication and encryption. | null | null | null | null | null | null | null | null | null | null | SWS-07
SWS-08
SWS-11 | null | null | CR 1.6 (5.8) | null | null | null | null | null | null | null | null | null | null | null | null | T1011, T1011.001, T1020.001, T1040, T1070, T1070.001, T1070.002, T1119, T1530, T1552, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002 | TS-2.11 | null | null | null | null | null | null | AC-18
SC-40 | AC-18 | AC-18 | AC-18 | AC-18
SC-40 | null | AC-18 | AC-18 | AC-18 | SC-40 | null | AC-18 | AC-18 | AC-18 | null | AC-18 | AC-18 | null | AC-18 | AC-18 | AC-18 | null | 3.1.16.a | null | null | null | null | null | null | null | 4.1.1 | 2.3.1
2.3.2
4.2.1.2 | null | null | null | 2.3.1
2.3.2 | 2.3.1
2.3.2
4.2.1.2 | 2.3.1
2.3.2
4.2.1.2 | 2.3.1
2.3.2
4.2.1.2 | 2.3.1
2.3.2
4.2.1.2 | null | N.8.1 | null | null | null | null | null | null | EC:SG2.SP2
TM:SG4.SP1
TM:SG2.SP2 | null | null | null | null | null | null | null | null | AC-18 | null | null | null | null | null | null | null | AC-18 | AC-18 | AC-18 | AC-18 | AC-18 | AC-18 | AC-18 | AC-18 | AC-18 | AC-18 | null | null | null | null | null | null | null | null | null | AC-18 | null | null | 8-311 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.22 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-42 | null | 2-5-3-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1314
1332 | null | null | null | null | null | null | null | null | null | null | null | null | null | 18.2.9.C.01
18.2.10.C.01
18.2.10.C.02
18.2.11.C.01
18.2.11.C.02
18.2.11.C.03
18.2.11.C.04
18.2.11.C.05
18.2.12.C.01
18.2.12.C.02
18.2.13.C.01
18.2.14.C.01
18.2.15.C.01
18.2.16.C.01
18.2.17.C.01
18.2.18.C.01
18.2.19.C.01
18.2.20.C.01
18.2.20.C.02
18.2.20.C.03
18.2.21.C.01
18.2.22.C.01
18.2.23.C.01
18.2.23.C.02
18.2.24.C.01
18.2.25.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | R-AC-4
R-AM-2
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | null | null | null | R-AC-4 | null | R-AM-2 | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | null | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Public Key Infrastructure (PKI) | CRY-08 | Mechanisms exist to securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider. | - Microsoft Active Directory (AD) Certificate Services
- Digitcert (https://www.digicert.com)
- Entrust (https://www.entrust.com)
- Comodo (https://www.comodo.com)
- Vault (https://www.vaultproject.io/) | null | Does the organization securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider? | 9 | Protect | X | X | X | There is no evidence of a capability to securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider. | Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.).
• Wireless access is protected via secure authentication and encryption. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
• The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• An IT infrastructure team, or similar function, enables:
o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key.
o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider. | CC6.1 | CC6.1-POF10 | null | null | null | null | null | null | null | CEK-02
CEK-08
LOG-10
LOG-11 | CLS-01
IAM-10
IAM-11
IAM-12
IAM-13
IAM-14
IAM-15
IAM-22
IOT-09
SDV-01 | null | null | CR 1.8 (5.10.1)
CR 1.9 (5.11.1) | null | null | null | null | null | null | null | null | null | null | null | null | T1072, T1606 | null | null | null | null | null | null | null | SC-12
SC-12(4)
SC-12(5)
SC-17 | SC-12 | SC-12
SC-17 | SC-12
SC-17 | SC-12
SC-17 | null | SC-12 | SC-12
SC-17 | SC-12
SC-17 | null | null | SC-12 | SC-12
SC-17 | SC-12
SC-17 | null | null | null | null | null | null | null | 3.13.10 | 3.13.10 | 3.13.10[a]
3.13.10[b] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.13.5 | null | null | null | null | null | null | KIM:SG4.SP1 | null | 5.10.1.2.3 | null | SC.L2-3.13.10 | SC.L2-3.13.10 | null | SC.L2-3.13.10 | SC.L2-3.13.10 | SC-12
SC-17 | null | null | null | null | null | null | § 11.2
§ 11.2(a)
§ 11.100 | SC-12
SC-17 | SC-12 | SC-12
SC-17 | SC-12
SC-17 | SC-12 | SC-12
SC-17 | SC-12 | SC-12
SC-17 | SC-12
SC-17 | SC-12 | null | null | null | null | null | null | null | null | 1.L.B | SC-12
SC-17 | null | null | 8-303 | null | null | null | null | null | null | SC-12 | SC-12
SC-17 | SC-12
SC-17 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12 | null | SC-12
SC-17 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.2
8.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0485
1449 | null | null | null | null | null | null | null | null | null | null | null | null | null | 17.1.51.C.01
17.1.51.C.02
17.1.51.C.03
23.3.21.C.01
23.3.22.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Availability | CRY-08.1 | Resiliency mechanisms exist to ensure the availability of data in the event of the loss of cryptographic keys. | null | null | Does the organization ensure the availability of data in the event of the loss of cryptographic keys? | 9 | Recover | X | X | X | There is no evidence of a capability to Resiliency ensure the availability of data in the event of the loss of cryptographic keys. | SP-CMM1 is N/A, since a structured process is required to Resiliency ensure the availability of data in the event of the loss of cryptographic keys. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
• The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Resiliency ensure the availability of data in the event of the loss of cryptographic keys. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Resiliency ensure the availability of data in the event of the loss of cryptographic keys. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.6.4
3.6.5 | 3.6.1 | null | null | null | null | null | null | 3.6.1 | 3.6.1 | null | D.13.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 17.1.51.C.01
17.1.51.C.02
17.1.51.C.03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-IR-1
R-IR-4 | null | null | null | null | null | 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 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | null | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Cryptographic Key Management | CRY-09 | Mechanisms exist to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | - Microsoft Active Directory (AD) Certificate Services
- Digitcert (https://www.digicert.com)
- Entrust (https://www.entrust.com)
- Comodo (https://www.comodo.com)
- Vault (https://www.vaultproject.io/) | E-CRY-01 | Does the organization facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys? | 10 | Protect | X | X | X | There is no evidence of a capability to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | SP-CMM1 is N/A, since a structured process is required to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The IT infrastructure team provides customers with appropriate key management guidance whenever cryptographic keys are shared. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• An IT infrastructure team, or similar function, enables:
o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key.
o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. • The IT infrastructure team provides customers with appropriate key management guidance whenever cryptographic keys are shared. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | CC6.1 | CC6.1-POF10 | null | null | null | null | null | null | null | CEK-02
CEK-08
CEK-10
CEK-11
CEK-12
CEK-13
CEK-14
CEK-15
CEK-16
CEK-17
CEK-18
CEK-19
CEK-20
CEK-21
LOG-10
LOG-11 | IAM-08
IAM-10
IAM-11
IAM-12
IAM-13
IAM-14
IAM-15
IOT-09
SDV-01
SWS-08
SWS-09
SWS-10 | null | null | CR 1.8 (5.10.1)
CR 1.9 (5.11.1) | null | null | null | null | 10.1.2 | 8.24 | 10.1.2 | null | 6.7.1.2 | null | null | null | T1072, T1098.004, T1552, T1552.001, T1552.002, T1552.004, T1563.001, T1573, T1573.001, T1573.002 | TS-3.0
TS-3.1 | null | null | null | null | null | null | null | null | null | null | SC-28(3) | null | null | null | null | SC-28(3) | null | null | null | null | null | null | null | null | null | null | null | 3.13.10 | 3.13.10 | 3.13.10[a]
3.13.10[b] | A.03.13.10.ODP[01]
A.03.13.10[01]
A.03.13.10[02] | null | null | null | null | null | 3.5
3.5.1
3.5.2
3.5.3
3.5.4
3.6
3.6.1
3.6.2
3.6.3
3.6.4
3.6.5
3.6.6
3.6.7
3.6.8 | 3.5.1.1
3.6.1
3.6.1.1
3.6.1.2
3.6.1.3
3.6.1.4
3.7.1
3.7.2
3.7.3
3.7.4
3.7.5
3.7.6
3.7.7
4.2.1.1 | null | null | null | null | null | null | 3.5.1.1
3.6.1
3.6.1.2
3.6.1.3
3.6.1.4
3.7.1
3.7.2
3.7.3
3.7.4
3.7.5
3.7.6
3.7.7
4.2.1.1 | 3.5.1.1
3.6.1
3.6.1.1
3.6.1.2
3.6.1.3
3.6.1.4
3.7.1
3.7.2
3.7.3
3.7.4
3.7.5
3.7.6
3.7.7
4.2.1.1 | null | D.13.5 | null | null | null | null | null | ARCHITECTURE-5.E.MIL2 | null | null | null | null | SC.L2-3.13.10 | null | null | SC.L2-3.13.10 | SC.L2-3.13.10 | null | null | null | null | null | null | null | § 11.50
§ 11.50(a)
§ 11.50(a)(1)
§ 11.50(a)(2)
§ 11.50(a)(3)
§ 11.50(b)
§ 11.70
§ 11.100
§ 11.100(a)
§ 11.100(b) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1.L.B | null | null | null | null | null | null | null | null | null | 5.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CRY-04 | null | null | null | 8.2
8.9
8.10 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-55 | null | 2-8-3-2 | null | null | null | null | null | 7.3.11 [OP.EXP.11] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0455
0507 | null | null | null | null | null | null | null | null | null | null | 10.1.2
10.1.2.20.PB | null | null | 17.1.51.C.01
17.1.58.C.01
17.1.58.C.02
17.1.58.C.03
23.3.21.C.01
23.3.22.C.01
23.4.9.C.02
23.4.9.C.03 | null | null | null | null | 10.2.1
10.2.2
10.2.3
10.2.4
10.2.5
10.2.6
10.2.7
10.2.8
10.2.9
10.2.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-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-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | 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 | null | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Symmetric Keys | CRY-09.1 | Mechanisms exist to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. | null | E-CRY-01 | Does the organization facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes? | 9 | Protect | null | X | X | There is no evidence of a capability to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. | SP-CMM1 is N/A, since a structured process is required to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
• The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• An IT infrastructure team, or similar function, enables:
o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key.
o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. | CC6.1 | CC6.1-POF10 | null | null | null | null | null | null | null | null | null | null | null | CR 1.14 (5.16.1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(2) | null | null | null | SC-12(2) | null | null | null | null | SC-12(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.13.7.1 | null | null | 10.4 | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(2) | null | null | null | null | null | null | null | SC-12(2) | null | SC-12(2) | SC-12(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-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-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | 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 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Asymmetric Keys | CRY-09.2 | Mechanisms exist to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. | null | E-CRY-01 | Does the organization facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key? | 9 | Protect | null | X | X | There is no evidence of a capability to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. | SP-CMM1 is N/A, since a structured process is required to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
• The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• An IT infrastructure team, or similar function, enables:
o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key.
o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. | CC6.1 | CC6.1-POF10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(3) | null | null | null | SC-12(3) | null | null | null | null | SC-12(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.13.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(3) | null | SC-12(3) | SC-12(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-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-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | 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 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Cryptographic Key Loss or Change | CRY-09.3 | Mechanisms exist to ensure the availability of information in the event of the loss of cryptographic keys by individual users. | - Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys. | null | Does the organization ensure the availability of information in the event of the loss of cryptographic keys by individual users? | 8 | Protect | X | X | X | There is no evidence of a capability to ensure the availability of information in the event of the loss of cryptographic keys by individual users. | SP-CMM1 is N/A, since a structured process is required to ensure the availability of information in the event of the loss of cryptographic keys by individual users. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• An IT infrastructure team, or similar function, enables:
o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key.
o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure the availability of information in the event of the loss of cryptographic keys by individual users. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure the availability of information in the event of the loss of cryptographic keys by individual users. | null | null | null | null | null | null | null | null | null | CEK-12
CEK-13
CEK-14
CEK-15
CEK-16
CEK-17
CEK-18
CEK-19
CEK-20 | IAM-10
IAM-11
IAM-12
IAM-13
IAM-14
IAM-15 | null | null | null | null | null | null | null | 10.1.2 | 8.24 | 10.1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(1) | null | null | SC-12(1) | SC-12(1) | null | null | null | SC-12(1) | null | null | null | null | SC-12(1) | null | null | null | null | null | null | null | null | 3.13.10 | null | null | null | null | null | null | null | 3.6.4
3.6.5 | 2.3.2
3.6.1
3.7.5 | null | null | null | 2.3.2 | 2.3.2 | 2.3.2 | 2.3.2
3.6.1
3.7.5 | 2.3.2
3.6.1
3.7.5 | null | D.13.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-12(1) | null | null | SC-12(1) | null | SC-12(1) | null | null | SC-12(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.3
8.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0455
0462 | null | null | null | null | null | null | null | null | null | null | 10.1.2
10.1.2.20.PB | null | null | 7.2.24.C.01
7.2.25.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-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-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | 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 | null | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Control & Distribution of Cryptographic Keys | CRY-09.4 | Mechanisms exist to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. | null | null | Does the organization facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes? | 9 | Protect | X | X | X | There is no evidence of a capability to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. | SP-CMM1 is N/A, since a structured process is required to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
• The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• An IT infrastructure team, or similar function, enables:
o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key.
o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. | null | null | null | null | null | null | null | null | null | CEK-10
CEK-11
CEK-12
CEK-15 | null | null | null | null | null | null | null | null | 10.1.2 | 8.24 | 10.1.2 | null | null | null | null | null | null | TS-3.0
TS-3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.13.10 | null | null | null | null | null | null | null | 3.6.6
3.6.7
3.6.8 | 3.6.1 | null | null | null | null | null | null | 3.6.1 | 3.6.1 | null | D.13.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.9
8.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 10.1.2
10.1.2.20.PB | null | null | null | null | null | null | null | 10.2.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-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-3
R-IR-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | 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 | null | R-IR-3 | R-IR-4 | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Assigned Owners | CRY-09.5 | Mechanisms exist to ensure cryptographic keys are bound to individual identities. | null | null | Does the organization ensure cryptographic keys are bound to individual identities? | 8 | Protect | null | X | X | There is no evidence of a capability to ensure cryptographic keys are bound to individual identities. | SP-CMM1 is N/A, since a structured process is required to ensure cryptographic keys are bound to individual identities. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• Cryptographic keys are bound to individual identities. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.
• The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes.
• The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users.
• An IT infrastructure team, or similar function, enables:
o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key.
o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. • Cryptographic keys are bound to individual identities. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cryptographic keys are bound to individual identities. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cryptographic keys are bound to individual identities. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.13.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-1
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-EX-6
R-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-3
R-IR-4
R-SA-1 | R-AC-1 | null | null | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | 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 | null | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Third-Party Cryptographic Keys | CRY-09.6 | Mechanisms exist to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared. | null | null | Does the organization ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared? | 7 | Protect | null | null | X | There is no evidence of a capability to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared. | SP-CMM1 is N/A, since a structured process is required to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-3.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.7.9 | null | null | null | null | null | null | null | 3.7.9 | null | D.13.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-4
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-GV-1 | R-AC-1 | null | null | R-AC-4 | null | null | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | null | null | null | null | null | null | null | R-GV-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8
MT-9
MT-10
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | External System Cryptographic Key Control | CRY-09.7 | Mechanisms exist to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system. | null | null | Does the organization maintain control of cryptographic keys for encrypted material stored or transmitted through an external system? | 5 | Protect | null | null | X | There is no evidence of a capability to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system. | SP-CMM1 is N/A, since a structured process is required to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system. | SP-CMM2 is N/A, since a well-defined process is required to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-3.0 | null | null | null | null | null | null | null | null | null | null | SA-9(6) | null | null | null | null | SA-9(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SA-9(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 23.4.9.C.02
23.4.9.C.03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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 | null | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Transmission of Cybersecurity & Data Privacy Attributes | CRY-10 | Mechanisms exist to ensure systems associate security attributes with information exchanged between systems. | - Integrity checking | null | Does the organization ensure systems associate security attributes with information exchanged between systems? | 5 | Protect | null | null | X | There is no evidence of a capability to ensure systems associate security attributes with information exchanged between systems. | SP-CMM1 is N/A, since a structured process is required to ensure systems associate security attributes with information exchanged between systems. | Cryptographic Protections (CRY) 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:
• Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management.
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure systems associate security attributes with information exchanged between systems. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure systems associate security attributes with information exchanged between systems. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | T1505, T1505.002, T1573, T1573.001, T1573.002 | null | null | null | null | null | null | null | SC-16
SC-16(1) | null | null | null | SC-16
SC-16(1) | null | null | null | null | SC-16
SC-16(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PR.AA-04 | null | null | null | null | null | null | null | null | null | null | null | null | D.24.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8-700 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-IR-4 | R-AC-1 | null | null | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | null | null | null | R-IR-1 | null | R-IR-3 | R-IR-4 | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Cryptographic Protections | Certificate Authorities | CRY-11 | Automated mechanisms exist to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions. | null | null | Does the organization use automated mechanisms to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions? | 8 | Protect | X | X | null | There is no evidence of a capability to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions. | SP-CMM1 is N/A, since a structured process is required to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions. | SP-CMM2 is N/A, since a well-defined process is required to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions. | Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage.
• Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage.
• Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.
• An IT infrastructure team, or similar function:
o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys.
o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-23(5) | null | null | null | SC-23(5) | null | null | null | null | SC-23(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-23(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 23.3.21.C.01
23.3.22.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-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 | null | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Data Classification & Handling | Data Protection | DCH-01 | Mechanisms exist to facilitate the implementation of data protection controls. | null | null | Does the organization facilitate the implementation of data protection controls? | 10 | Protect | X | X | null | There is no evidence of a capability to facilitate the implementation of data protection controls. | Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A manual data retention process exists.
• Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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 data classification and handling practices.
• The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization with regards to data classification and handling.
• A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including data classification and handling.
• 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 regarding data classification and handling.
• A GRC function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• 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 data according to the organization’s data classification and handling requirements.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 data protection controls. | CC2.1
CC6.7
C1.1
PI1.5 | CC6.7-POF2
C1.1-POF2
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 | 3.0
3.1
3.3
11.0
11.3 | 3.1
3.3
11.3 | 3.1
3.3
11.3 | 3.1
3.3
11.3 | APO14.01
APO14.02
APO14.03
APO14.04
APO14.05
APO14.06
APO14.07
APO14.08
APO14.09
APO14.10 | Principle 13 | CEK-04
DCS-01
DCS-02
DCS-03
DCS-04
DSP-01
DSP-10
DSP-17
HRS-03 | DAT-02
LGL-08 | null | null | FR 4 (8.1) | RQ-05-09 | null | null | null | 8.2
8.2.3
8.3 | 5.9
5.10
5.12
5.33
7.10
8.12 | 8.2
8.2.3
8.3 | null | 6.5.2
6.5.3.3 | null | null | null | null | OP-1.1
OP-2.0
OP-3.1
OP-3.3
TS-1.15 | null | null | GV.PO-P1 | null | null | null | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | null | null | MP-1 | MP-1 | MP-1 | 3.3.6 | MP-1 | MP-1 | null | MP-1 | MP-1 | null | 3.8.1
NFO - MP-1 | 3.8.1
3.17.1.c | 3.8.1[a]
3.8.1[b]
3.8.1[c]
3.8.1[d] | null | 3.1.3E | null | PR.DS-5 | PR.DS
PR.DS-01
PR.DS-02
PR.DS-09
PR.DS-10 | null | 9.7
9.7.1 | 9.4
9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | P.2 | 2.1
2.4A
2.9
2.11A | 3.1.4
8.2.4
8.3.1
8.4.1
9.1 | 10.1 | null | null | ARCHITECTURE-5.A.MIL1
ARCHITECTURE-5.B.MIL2
ARCHITECTURE-5.C.MIL2 | KIM:SG2.SP2 | 3.4
8.3 | 4.2.3.1
5.1.1.1
5.7.2
5.8 | null | MP.L2-3.8.1 | MP.L2-3.8.1 | null | MP.L2-3.8.1 | AC.L3-3.1.3e
MP.L2-3.8.1 | MP-1 | null | null | null | null | null | null | § 11.2
§ 11.2(a)
§ 11.10
§ 11.10(a)
§ 11.10(b)
§ 11.10(c)
§ 11.10(d)
§ 11.10(e)
§ 11.10(f)
§ 11.10(g)
§ 11.10(h)
§ 11.10(i)
§ 11.10(j)
§ 11.10(k)
§ 11.10(k)(1)
§ 11.10(k)(2) | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | MP-1 | § 1232g
§ 1232h | null | null | null | 314.4(c)(1)(i)
314.4(c)(6)(ii) | null | null | 4.M.B
4.M.E
7.M.C | 4.M.B
4.M.E
7.M.C | 1.3
1.9.1
1.9.2
2.A.2
2.A.3
2.B.2
2.B.3
2.C.5
2.D.1
3.3.8
MP-1 | 120.2
120.10
120.11
120.17
120.18
120.19
120.20
120.21
120.22
120.23
120.50
120.51 | CIP-002-5.1a
R1 & R2 | 8-306
8-309 | 10.1 | 6.10 | null | null | null | 5.5
5.8 | MP-1 | MP-1 | MP-1 | null | 45.48.100 | null | null | null | 6-1-1305(4)
6-1-1307(2)
6-1-1307(3)
6-1-1308(5) | null | null | null | 17.03(2)(c) | null | null | Sec 4(2)(b)(ii)(B)(1)
Sec 4(2)(b)(ii)(B)(2)
Sec 4(2)(b)(ii)(B)(3)
Sec 4(2)(b)(ii)(B)(4)
Sec 4(2)(b)(ii)(C)(1)
Sec 4(2)(b)(ii)(C)(2)
Sec 4(2)(b)(ii)(C)(3)
Sec 4(2)(b)(ii)(C)(4) | null | null | null | Sec 13 | MP-1 | MP-1 | MP-1 | null | null | § 2447(a)
§ 2447(a)(1)
§ 2447(a)(1)(A)
§ 2447(a)(1)(B)
§ 2447(a)(1)(C)
§ 2447(a)(1)(D)
§ 2447(a)(2) | null | null | null | Art 5.1
Art 32.1
Art 32.2 | null | null | null | Sec 14
Sec 15 | Art 16 | Art 13
Art 27 | Art 27
Art 41 | Sec 5
Sec 32
Sec 33
Sec 34
Sec 35 | Art 34 | Sec 4b
Sec 9
Sec 9a
Sec 16
Annex | null | COS-08 | Art 9 | Sec 7
Sec 8 | Sec 2 | 5.1
5.2
5.3
5.5
11.6
15.1
15.6
15.7 | Sec 16
Sec 17 | Sec 31
Sec 33
Sec 34
Sec 35
Sec 42 | null | Art 3
Art 4 | Sec 12
Sec 13
Sec 14 | null | Sec 13
Sec 14
Sec 29 | Art 1
Art 36
Art 47 | Art 14
Art 15
Art 16
Art 17
Art 18
Art 19 | null | Art 7
Art 12
Art 19 | 2-6
2-6-1-3 | TPC-24
TPC-39
TPC-58 | null | 2-1-6
2-3-3
2-3-3-2
2-3-4
2-7-1
2-7-2
2-7-3
2-7-4
2-7-3-3 | 2-6
2-6-1
2-6-1-1
2-6-2 | Article 65 | null | Sec 14.1
Sec 19
Sec 21 | null | 8.5.3 [MP.SI.3] | Sec 31
Sec 33 | Art 6
Art 7 | Art 8
Art 12 | Sec 11
Sec 15
Sec 16 | A3.a
B3.a
B3.b
B3.c | B3 | null | null | null | null | null | null | APP Part 8
APP Part 11 | APP 11 | 1599
1549
0337
0831
1059 | null | null | 20
21(a) | null | Sec 4 | null | Principle 4
Sec 33 | Sec 7
Sec 8 | null | Article 20 | 8.2.3 | Sec 9 | null | 4.4.10.C.01
9.2.12.C.01
9.2.13.C.01
9.2.13.C.02
9.2.14.C.01
9.2.15.C.01
9.2.15.C.02
9.2.17.C.01
9.2.17.C.02
9.2.18.C.01
9.2.19.C.01
9.2.19.C.02
9.2.19.C.03
9.2.19.C.04
9.2.20.C.01
13.2.6.C.01
13.2.7.C.01 | null | Sec 25 | Sec 24
Sec 26 | null | 11.1.1
11.1.1(a)
11.1.1(b)
11.1.1(c)
11.1.2
11.1.3
11.1.4
11.1.5
11.1.6
11.1.7 | null | Art 21 | Art 9
Art 12 | null | null | 6.8
6.10
6.13 | Art 46
Art 47 | null | null | Principle 7 | Art 7 | null | null | null | null | Art 11
Art 12 | null | null | null | x | MA 201 CMR 17 | 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-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15
MT-16 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | MT-16 | null |
Data Classification & Handling | Data Stewardship | DCH-01.1 | Mechanisms exist to ensure data stewardship is assigned, documented and communicated. | null | null | Does the organization ensure data stewardship is assigned, documented and communicated? | 10 | Protect | X | X | X | There is no evidence of a capability to ensure data stewardship is assigned, documented and communicated. | Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A manual data retention process exists.
• Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
• Security awareness training covers the restrictions on:
o Disposing protected data.
o Posting content to websites, social media or other publicly-accessible sources.
o Use of sensitive/regulated data.
o Sharing sensitive/regulated data and approved transfer technologies.
o Encrypting sensitive/regulated data whenever it is being transmitted or stored.
• Administrative means (e.g., policies and standards):
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Restrict types of ad-hoc transfers.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• HR requires personnel with access to sensitive/regulated data to sign a Non-Disclosure Agreement (NDA). | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 data stewardship is assigned, documented and communicated. | CC2.1 | null | null | 3.1 | 3.1 | 3.1 | 3.1 | null | Principle 13 | DSP-03
DSP-06
HRS-03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OP-1.1
OP-3.2 | null | null | null | null | null | null | null | null | null | null | SA-4(12) | null | null | null | null | SA-4(12) | null | null | null | null | null | null | null | null | null | null | null | null | 3.8.1 | null | null | null | null | null | null | null | null | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | P.7 | 2.9
2.11A | null | null | null | null | null | null | null | 4.2.3.3
5.1.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.B | 4.M.B | SA-4(12) | null | CIP-011-2
R1 | null | 10.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AM-06 | null | null | null | 11.6 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-39
TPC-58 | null | 2-7-3-1 | null | null | null | null | null | 8.5.3 [MP.SI.3] | null | null | null | null | B3.a
B3.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 21 | null | null | null | null | null | null | null | null | 3.3.1(c) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | 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-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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Sensitive / Regulated Data Protection | DCH-01.2 | Mechanisms exist to protect sensitive/regulated data wherever it is stored. | null | null | Does the organization protect sensitive/regulated data wherever it is stored? | 9 | Protect | X | X | X | There is no evidence of a capability to protect sensitive/regulated data wherever it is stored. | Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A manual data retention process exists.
• Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
• IT personnel provide an encryption solution (software or hardware) for storage media. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect sensitive/regulated data wherever it is stored. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect sensitive/regulated data wherever it is stored. | null | C1.1-POF2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OP-3.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.2
3.1.20.a
3.1.20.b
3.1.20.c.1
3.1.20.c.2
3.1.20.d
3.8.1
3.17.1.c | null | null | null | null | null | PR.DS-01
PR.DS-02 | null | null | 3.5.1 | null | null | null | null | null | null | 3.5.1 | 3.5.1 | null | D.8.2 | 2.9
2.11A | null | null | null | null | null | null | 3.4 | null | null | null | null | null | null | null | null | null | 252.204-7012(h)
252.204-7012(i)(1)
252.204-7012(i)(2)
252.204-7012(i)(3)
252.204-7012(i)(4)
252.204-7012(i)(5)
252.204-7012(j) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.A.2
2.B.2
2.D.5 | null | null | null | 10.1
10.2
10.5
10.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TPC-24
TPC-39
TPC-58 | null | null | 2-6-1-1 | null | null | null | null | null | null | null | null | null | B3.a
B3.b
B3.c | B3 | null | null | null | null | null | null | null | null | 1802 | null | null | null | null | null | null | null | null | null | null | null | null | null | 18.6.8.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-4
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-GV-1 | R-AC-1 | null | null | R-AC-4 | null | null | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | null | null | null | null | null | null | null | R-GV-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8
MT-9
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | null | null | MT-12 | MT-13 | MT-14 | MT-15 | null | - updated DFARS mapping |
Data Classification & Handling | Sensitive / Regulated Media Records | DCH-01.3 | Mechanisms exist to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident. | null | null | Does the organization ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident? | 6 | Protect | null | X | null | There is no evidence of a capability to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident. | SP-CMM1 is N/A, since a structured process is required to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident. | SP-CMM2 is N/A, since a well-defined process is required to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-CMS-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7101(a)
7101(b)
7101(c)
7101(d)
7101(e) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B3.a
B3.e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-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-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Defining Access Authorizations for Sensitive/Regulated Data | DCH-01.4 | Mechanisms exist to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data. | null | null | Does the organization explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data? | 9 | Protect | null | x | x | There is no evidence of a capability to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data. | SP-CMM1 is N/A, since a structured process is required to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data. | SP-CMM2 is N/A, since a well-defined process is required to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.1.a
3.1.2
3.1.3
3.1.4.b
3.17.1.c | null | A.03.01.01.g.01
A.03.01.01.g.02
A.03.01.01.g.03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - new control |
Data Classification & Handling | Data & Asset Classification | DCH-02 | Mechanisms exist to ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements. | null | E-DCH-01
E-DCH-02 | Does the organization ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements? | 10 | Identify | X | X | X | There is no evidence of a capability to ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements. | SP-CMM1 is N/A, since a structured process is required to ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements. | CC2.1
C1.1 | CC6.1-POF1 | null | 3.1
3.7 | 3.1 | 3.1
3.7 | 3.1
3.7 | null | Principle 13 | DCS-05
DSP-04 | DAT-01 | null | null | null | null | null | null | null | 8.2.1 | 5.9
5.12 | 8.2.1 | null | 6.5.2.1 | null | null | null | null | OP-3.2 | null | GOVERN 1.6 | null | null | P-12 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.8.4 | null | null | null | null | ID.AM-5 | null | null | 9.6.1 | 9.4.2 | 9.4.2 | 9.4.2 | 9.4.2 | 9.4.2 | 9.4.2 | 9.4.2 | 9.4.2 | 9.4.2 | null | D.7 | 2.9
2.10 | 1.3.2
8.2.4 | 10.2 | null | null | null | null | null | 4.1.1
4.2.1
4.2.2
4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D1.G.IT.B.2 | null | null | null | null | 4.S.A
10.S.A | 4.M.A
4.M.E | 4.M.A
4.M.E | null | 120.6
120.7
120.8
120.9
120.10
120.46 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.3(17)
3.3.3(18)
3.3.3(19)
3.5(54) | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.13
7.14
12.4 | AM-02
AM-06
COS-08
PI-01 | null | null | null | 5.3
15.2 | null | null | null | null | null | null | null | null | null | null | null | 2-6-1-2 | TPC-24 | null | 2-1-5
2-7-3-2
4-2-3-1 | 2-6-1-1 | null | null | null | null | 8.7.2 [MP.INFO.2] | null | null | null | null | A3.a
B3.a | B3 | null | null | Article 4 | null | null | null | null | null | 0294
0296
0323 | null | null | 20
21(a) | null | null | null | null | null | null | null | 8.2.1 | null | null | 12.3.4.C.01
12.3.5.C.01
12.3.5.C.02
12.3.6.C.01
12.3.7.C.01
18.6.8.C.01 | null | null | null | null | 3.3.1(b) | null | null | null | null | null | 6.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | x | Lockton | 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-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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Highest Classification Level | DCH-02.1 | Mechanisms exist to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/or processed. | null | null | Does the organization ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/or processed? | 8 | Protect | X | X | X | There is no evidence of a capability to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/ or processed. | SP-CMM1 is N/A, since a structured process is required to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/ or processed. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/ or processed. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/ or processed. | null | null | null | 3.7
3.12 | null | 3.7
3.12 | 3.7
3.12 | null | null | DSP-17 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.7 | 2.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.B.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-6-1-1 | TPC-24 | null | null | 2-6-1-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0323
0325 | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.4.9.C.01
13.2.8.C.01
13.2.9.C.01
18.6.9.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-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-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Media Access | DCH-03 | Mechanisms exist to control and restrict access to digital and non-digital media to authorized individuals. | - Data Loss Prevention (DLP) | null | Does the organization control and restrict access to digital and non-digital media to authorized individuals? | 8 | Protect | null | X | X | There is no evidence of a capability to control and restrict access to digital and non-digital media to authorized individuals. | SP-CMM1 is N/A, since a structured process is required to control and restrict access to digital and non-digital media to authorized individuals. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 control and restrict access to digital and non-digital media to authorized individuals. | C1.1 | null | null | 3.1
3.3 | 3.1
3.3 | 3.1
3.3 | 3.1
3.3 | null | null | DSP-10
HRS-03 | null | null | null | null | null | null | null | null | null | 7.10 | null | null | null | null | null | null | null | OP-3.2 | null | null | null | null | null | null | MP-2 | MP-2 | MP-2 | MP-2 | MP-2 | null | MP-2 | MP-2 | MP-2 | null | null | MP-2 | MP-2 | MP-2 | null | null | null | null | null | null | null | 3.1.3
3.8.2 | 3.1.3
3.8.2 | 3.1.3[c]
3.8.2 | A.03.08.02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3.1 | 2.11A | null | null | null | null | null | AM:SG1.SP1
KIM:SG2.SP1
KIM:SG2.SP2 | null | null | null | AC.L2-3.1.3
MP.L2-3.8.2 | MP.L2-3.8.2 | null | AC.L2-3.1.3
MP.L2-3.8.2 | AC.L2-3.1.3
MP.L2-3.8.2 | MP-2 | null | null | null | null | null | null | null | MP-2 | MP-2 | MP-2 | MP-2 | MP-2 | MP-2 | MP-2 | MP-2 | MP-2 | MP-2 | § 1232h | null | null | null | null | null | null | null | null | MP-2 | null | null | 8-310 | 10.2
10.5
10.6
10.7
10.8 | null | null | null | null | null | MP-2 | MP-2 | MP-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-2 | MP-2 | MP-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TPC-39 | null | null | null | null | null | null | null | null | null | null | null | null | B3.a
B3.b
B3.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-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-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Disclosure of Information | DCH-03.1 | Mechanisms exist to restrict the disclosure of sensitive / regulated data to authorized parties with a need to know. | null | null | Does the organization restrict the disclosure of sensitive / regulated data to authorized parties with a need to know? | 10 | Protect | null | X | X | There is no evidence of a capability to restrict the disclosure of sensitive / regulated data to authorized parties with a need to know. | SP-CMM1 is N/A, since a structured process is required to restrict the disclosure of sensitive / regulated data to authorized parties with a need to know. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 restrict the disclosure of sensitive / regulated data to authorized parties with a need to know. | P6.0 | P6.1-POF2
P6.1-POF3
P6.1-POF4
P6.4-POF1 | null | 3.1
3.3 | 3.1
3.3 | 3.1
3.3 | 3.1
3.3 | null | null | DSP-18 | null | null | null | null | RQ-05-09 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.22.a
3.17.1.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3.1 | 2.4A
2.9
2.11A | null | null | null | null | null | null | null | 4.2.3.3
5.1.3
5.1.4 | null | null | null | null | null | null | null | null | 252.204-7000 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | § 1232h | null | null | null | null | null | null | null | null | 2.A.4
2.C.11
2.C.11.1
2.C.11.2
2.C.11.3
2.C.11.4
2.C.11.5
2.C.11.6
2.C.11.7
2.C.11.8 | 120.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 10.5 | null | null | null | null | null | null | null | null | null | null | null | 2-6-1-3 | TPC-39 | null | null | 2-6-1-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-4
R-AM-1
R-AM-3
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | null | null | R-AC-4 | R-AM-1 | null | R-AM-3 | null | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | null | null | R-IR-4 | R-SA-1 | R-SA-2 | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Masking Displayed Data | DCH-03.2 | Mechanisms exist to apply data masking to sensitive/regulated information that is displayed or printed. | null | null | Does the organization apply data masking to sensitive/regulated information that is displayed or printed? | 7 | Protect | null | X | X | There is no evidence of a capability to apply data masking to sensitive information that is displayed or printed. | SP-CMM1 is N/A, since a structured process is required to apply data masking to sensitive information that is displayed or printed. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 apply data masking to sensitive information that is displayed or printed. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3 | 3.4.1 | null | null | 3.4.1 | 3.4.1 | 3.4.1 | 3.4.1 | 3.4.1 | 3.4.1 | null | P.7.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.B | 4.M.B | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 10(a)(2)
Sec 10(a)(4)
Sec 30 | null | null | null | null | null | null | null | null | Sec 4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | null | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Controlled Release | DCH-03.3 | Automated mechanisms exist to validate cybersecurity & data privacy attributes prior to releasing information to external systems. | null | null | Does the organization use automated mechanisms to validate cybersecurity & data privacy attributes prior to releasing information to external systems? | 4 | Protect | null | null | null | There is no evidence of a capability to validate cybersecurity & data privacy attributes prior to releasing information to external systems. | SP-CMM1 is N/A, since a structured process is required to validate cybersecurity & data privacy attributes prior to releasing information to external systems. | SP-CMM2 is N/A, since a well-defined process is required to validate cybersecurity & data privacy attributes prior to releasing information to external systems. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate cybersecurity & data privacy attributes prior to releasing information to external systems. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate cybersecurity & data privacy attributes prior to releasing information to external systems. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-3(9) | null | null | null | AC-3(9) | null | null | null | null | null | null | null | null | null | null | AC-3(9) | null | null | null | AC-3(9) | AC-3(9) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-3(9) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-3(9) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AM-3
R-BC-5
R-GV-1
R-GV-4 | R-AC-1 | null | null | null | null | null | R-AM-3 | null | null | null | null | R-BC-5 | null | null | null | null | null | null | null | R-GV-1 | null | null | R-GV-4 | null | null | null | null | null | null | null | null | null | null | MT-8
MT-9
MT-10
MT-12
MT-13
MT-14 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | null | null | null |
Data Classification & Handling | Media Marking | DCH-04 | Mechanisms exist to mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. | null | null | Does the organization mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements? | 7 | Protect | null | X | X | There is no evidence of a capability to mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. | SP-CMM1 is N/A, since a structured process is required to mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. | null | null | null | null | null | null | null | null | null | null | null | null | 1.2.3 | null | null | null | null | null | 8.2.2 | 5.10
5.13 | 8.2.2 | null | 6.5.2.2 | null | null | null | null | OP-3.2 | null | null | null | null | null | null | MP-3 | null | MP-3 | MP-3 | MP-3 | null | null | MP-3 | MP-3 | null | null | null | MP-3 | MP-3 | null | null | null | null | null | null | null | 3.8.4 | 3.8.4 | 3.8.4[a]
3.8.4[b] | A.03.08.04[01]
A.03.08.04[02]
A.03.08.04[03] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3.6 | null | null | null | null | null | null | KIM:SG4.SP2
KIM:SG4.SP3 | null | null | null | MP.L2-3.8.4 | MP.L2-3.8.4 | null | MP.L2-3.8.4 | MP.L2-3.8.4 | MP-3 | null | null | null | null | null | null | null | MP-3 | null | MP-3 | MP-3 | null | MP-3 | null | MP-3 | MP-3 | null | null | null | null | null | null | null | null | 4.M.B | 4.M.B | MP-3 | 120.10 | null | 8-306
8-310 | 18.4
19.4 | null | null | null | null | null | null | MP-3 | MP-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AM-06 | null | null | null | 15.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.5.1 [MP.SI.1] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0294
0296
0332 | null | null | null | null | null | null | null | null | null | null | 8.2.2
8.2.2.7.PB | null | null | 4.4.10.C.01
12.3.4.C.01
12.3.5.C.01
12.3.5.C.02
12.3.6.C.01
12.3.7.C.01
13.2.12.C.01
13.2.12.C.02
13.2.12.C.03
13.2.12.C.04
13.2.13.C.01
13.2.14.C.01
13.2.14.C.02
21.1.21.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Automated Marking | DCH-04.1 | Automated mechanisms exist to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. | null | null | Does the organization use automated mechanisms to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies? | 2 | Protect | null | null | X | There is no evidence of a capability to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. | SP-CMM1 is N/A, since a structured process is required to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. | SP-CMM2 is N/A, since a well-defined process is required to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. | null | null | null | null | null | null | null | null | null | UEM-11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CT.DM-P7 | null | null | null | null | null | null | null | MP-3 | null | null | MP-3 | MP-3 | null | null | null | MP-3 | MP-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.10.13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | MP-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | 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 | null | null | null |
Data Classification & Handling | Cybersecurity & Data Privacy Attributes | DCH-05 | Mechanisms exist to bind cybersecurity & data privacy attributes to information as it is stored, transmitted and processed. | null | null | Does the organization bind cybersecurity & data privacy attributes to information as it is stored, transmitted and processed? | 2 | Protect | null | null | X | There is no evidence of a capability to bind security attributes to information as it is stored, transmitted and processed. | SP-CMM1 is N/A, since a structured process is required to bind security attributes to information as it is stored, transmitted and processed. | SP-CMM2 is N/A, since a well-defined process is required to bind security attributes to information as it is stored, transmitted and processed. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to bind security attributes to information as it is stored, transmitted and processed. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to bind security attributes to information as it is stored, transmitted and processed. | null | null | null | null | null | null | null | null | null | null | DAT-01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | T1003, T1003.003, T1005, T1020.001, T1025, T1040, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1070, T1070.001, T1070.002, T1114, T1114.001, T1114.002, T1114.003, T1119, T1213, T1213.001, T1213.002, T1222, T1222.001, T1222.002, T1505, T1505.002, T1530, T1537, T1547.007, T1547.011, T1548, T1548.003, T1550.001, T1552, T1552.004, T1552.005, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1564.004, T1565, T1565.001, T1565.002, T1567, T1602, T1602.001, T1602.002 | null | null | null | CT.DM-P7 | null | null | null | AC-16 | null | null | null | AC-16 | null | null | null | null | AC-16 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3.6 | null | null | null | null | null | null | KIM:SG2.SP1
KIM:SG2.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | null | null | null | 8-306 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-4
R-AM-3
R-BC-2
R-BC-4
R-BC-5
R-EX-1
R-EX-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 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Dynamic Attribute Association | DCH-05.1 | Mechanisms exist to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity and data privacy policies. | null | null | Does the organization dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity and data privacy policies? | 2 | Protect | null | null | X | There is no evidence of a capability to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies. | SP-CMM1 is N/A, since a structured process is required to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies. | SP-CMM2 is N/A, since a well-defined process is required to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CT.DM-P7 | null | null | null | null | null | null | null | AC-16(1) | null | null | null | null | AC-16(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.7.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Attribute Value Changes By Authorized Individuals | DCH-05.2 | Mechanisms exist to provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes. | null | null | Does the organization provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes? | 8 | Protect | null | null | X | There is no evidence of a capability to provide authorized individuals ( or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes. | SP-CMM1 is N/A, since a structured process is required to provide authorized individuals ( or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes. | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 authorized individuals ( or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-16(2) | null | null | null | null | AC-16(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.8.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Maintenance of Attribute Associations By System | DCH-05.3 | Mechanisms exist to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects. | null | null | Does the organization maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects? | 2 | Protect | null | null | X | There is no evidence of a capability to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects. | SP-CMM1 is N/A, since a structured process is required to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects. | SP-CMM2 is N/A, since a well-defined process is required to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 the association and integrity of cybersecurity & data privacy attributes to individuals and objects. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-16(3) | null | null | null | null | AC-16(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Association of Attributes By Authorized Individuals | DCH-05.4 | Mechanisms exist to provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals (or processes acting on behalf of individuals). | null | null | Does the organization provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals (or processes acting on behalf of individuals)? | 2 | Protect | null | null | X | There is no evidence of a capability to provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals ( or processes acting on behalf of individuals). | SP-CMM1 is N/A, since a structured process is required to provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals ( or processes acting on behalf of individuals). | Data Classification & Handling (DCH) 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:
• Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices.
• IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management.
• Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists and is a manual process to govern.
• Data/process owners:
o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data
• A manual data retention process exists.
• Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Administrative means (e.g., policies and standards) dictate:
o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations.
o Requirements for minimizing data collection to what is necessary for business purposes.
o Requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals ( or processes acting on behalf of individuals). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-16(4) | null | null | null | null | AC-16(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.8.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Attribute Displays for Output Devices | DCH-05.5 | Mechanisms exist to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions. | null | null | Does the organization display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions? | 8 | Protect | null | null | X | There is no evidence of a capability to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions. | SP-CMM1 is N/A, since a structured process is required to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions. | SP-CMM2 is N/A, since a well-defined process is required to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions. | null | null | null | null | null | null | null | DSS05.06 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-16(5) | null | null | null | null | AC-16(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Data Subject Attribute Associations | DCH-05.6 | Mechanisms exist to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity and data privacy policies. | null | null | Does the organization require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity and data privacy policies? | 2 | Protect | null | null | X | There is no evidence of a capability to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity & data privacy policies. | SP-CMM1 is N/A, since a structured process is required to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity & data privacy policies. | SP-CMM2 is N/A, since a well-defined process is required to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity & data privacy policies. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity & data privacy policies. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CT.DP-P1
CT.DP-P2
CT.DP-P3
CT.DP-P4
CT.DP-P5 | null | null | null | null | null | null | null | AC-16(6) | null | null | null | null | AC-16(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Data Classification & Handling | Consistent Attribute Interpretation | DCH-05.7 | Mechanisms exist to provide a consistent, organizationally agreed upon interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components. | null | null | Does the organization provide a consistent, organizationally agreed upon interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components? | 2 | Protect | null | null | X | There is no evidence of a capability to provide a consistent, organizationally agreed up on interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components. | SP-CMM1 is N/A, since a structured process is required to provide a consistent, organizationally agreed up on interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components. | SP-CMM2 is N/A, since a well-defined process is required to provide a consistent, organizationally agreed up on interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components. | Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, 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, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted.
• A data classification process exists to identify categories of data and specific protection requirements.
• A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations.
• Data/process owners:
o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.
o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually.
o Create and maintain Data Flow Diagrams (DFDs) and network diagrams.
o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations.
• Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling.
• Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.).
• Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices.
• Administrative processes and technologies:
o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.
o Identify and document the location of information on which the information resides.
o Restrict and govern the transfer of data to third-countries or international organizations.
o Limit the disclosure of data to authorized parties.
o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements.
o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations.
o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.
o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.
o Dictate requirements for minimizing data collection to what is necessary for business purposes.
o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. | Data Classification & Handling (DCH) 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 a consistent, organizationally agreed up on interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-16(7) | null | null | null | null | AC-16(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.7.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.M.E | 4.M.E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-4
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-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | R-AC-4 | null | 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 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |