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29100
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31000
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ATT&CK
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Content Security Program
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AI RMF
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SEC
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EBA
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Germany
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Data Classification & Handling | Identity Association Techniques & Technologies | DCH-05.8 | Mechanisms exist to associate cybersecurity & data privacy attributes to information. | null | null | Does the organization associate cybersecurity & data privacy attributes to information? | 2 | Protect | null | X | X | There is no evidence of a capability to associate cybersecurity & data privacy attributes to information. | SP-CMM1 is N/A, since a structured process is required to associate cybersecurity & data privacy attributes to information. | SP-CMM2 is N/A, since a well-defined process is required to associate cybersecurity & data privacy attributes to information. | 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 associate cybersecurity & data privacy attributes to information. | null | null | null | null | null | null | 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(8) | null | null | null | null | AC-16(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 | 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 | Attribute Reassignment | DCH-05.9 | Mechanisms exist to reclassify data as required, due to changing business/technical requirements. | null | null | Does the organization reclassify data as required, due to changing business/technical requirements? | 7 | Protect | null | X | X | There is no evidence of a capability to reclassify data as required, due to changing business/technical requirements. | SP-CMM1 is N/A, since a structured process is required to reclassify data as required, due to changing business/technical 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 reclassify data as required, due to changing business/technical 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 | CT.DM-P7 | null | null | null | null | null | null | null | AC-16(9) | null | null | null | null | AC-16(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 | 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 | 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 | Attribute Configuration By Authorized Individuals | DCH-05.10 | Mechanisms exist to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects. | null | null | Does the organization provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects? | 8 | Protect | null | X | X | There is no evidence of a capability to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects. | SP-CMM1 is N/A, since a structured process is required to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects. | 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 provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects 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(10) | null | null | null | null | AC-16(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 | 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 | 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 | Audit Changes | DCH-05.11 | Mechanisms exist to audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Does the organization audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures? | 7 | Detect | null | X | X | There is no evidence of a capability to audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures. | SP-CMM1 is N/A, since a structured process is required to audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures. | SP-CMM2 is N/A, since a well-defined process is required to audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures. | 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. | Data Classification & Handling (DCH) 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.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 | 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-2
R-AM-3
R-BC-1
R-BC-2
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-IR-1
R-IR-3
R-SA-1 | null | null | null | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | null | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | 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 | 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 |
Data Classification & Handling | Media Storage | DCH-06 | Mechanisms exist to:
▪ Physically control and securely store digital and non-digital media within controlled areas using organization-defined security measures; and
▪ Protect system media until the media are destroyed or sanitized using approved equipment, techniques and procedures. | null | null | Does the organization:
▪ Physically control and securely store digital and non-digital media within controlled areas using organization-defined security measures; and
▪ Protect system media until the media are destroyed or sanitized using approved equipment, techniques and procedures? | 8 | Protect | X | X | X | There is no evidence of a capability:
▪ Physically control and securely store digital and non-digital media within controlled areas using organization-defined security measures; and
▪ Protect system media until the media are destroyed or sanitized using approved equipment, techniques and procedures. | 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.
• Media is securely stored until it is destroyed or sanitized using approved equipment, techniques and procedures.
• A data retention process exists and is a manual process to govern. | 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. | Data Classification & Handling (DCH) 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 | 7.10 | null | null | null | null | null | null | null | OP-1.3
OP-3.0
OP-3.2 | null | null | null | null | null | null | MP-4 | null | MP-4 | MP-4 | MP-4 | null | null | MP-4 | MP-4 | null | null | null | MP-4 | MP-4 | null | MP-4 | null | MP-4 | MP-4 | MP-4 | null | 3.8.1 | 3.8.1 | null | A.03.08.01[01]
A.03.08.01[02] | null | null | null | null | null | 9.5
9.5.1
9.6
9.6.1
9.6.2
9.7 | 9.4
9.4.1
9.4.1.2 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1
9.4.1.2 | 9.4.1
9.4.1.2 | 9.4.1 | D.3.7 | null | null | null | null | null | null | KIM:SG4.SP2
KIM:SG4.SP3 | 3.4 | 4.2.4
5.8.1 | null | MP.L2-3.8.1 | null | null | MP.L2-3.8.1 | MP.L2-3.8.1 | MP-4 | null | null | null | null | null | null | null | MP-4 | null | MP-4 | MP-4 | null | MP-4 | null | MP-4 | MP-4 | null | null | null | null | null | null | null | null | null | null | MP-4 | null | null | 8-308 | 10.5
10.8 | null | null | null | null | null | null | MP-4 | MP-4 | null | null | null | null | null | null | null | null | null | 17.03(2)(c) | null | null | null | 622(2)(d)(C)(i)
620 | null | null | null | null | null | MP-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-3-3-2 | 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 | 8.4.10.C.01
8.4.11.C.01
8.4.12.C.01
8.4.13.C.01
13.3.5.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 | MA 201 CMR 17
OR 6464A | 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-IR-1
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 | null | null | null | R-IR-1 | null | 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 | Physically Secure All Media | DCH-06.1 | Mechanisms exist to physically secure all media that contains sensitive information. | - Lockbox | null | Does the organization physically secure all media that contains sensitive information? | 9 | Protect | null | X | null | There is no evidence of a capability to physically secure all media that contains sensitive information. | 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.
• Media is securely stored until it is destroyed or sanitized using approved equipment, techniques and procedures.
• A data retention process exists and is a manual process to govern. | 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 physically secure all media that contains sensitive information. | null | null | null | 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-1.3
OP-3.0
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 | 3.8.1 | null | null | null | null | null | null | null | 9.5
9.5.1 | 9.4
9.4.1
9.4.1.2 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1 | 9.4.1
9.4.1.2 | 9.4.1
9.4.1.2 | 9.4.1 | F.10 | null | null | null | null | null | null | null | null | 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 | null | null | 2.B.1 | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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-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 | null | null | null | R-IR-1 | null | 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 | Sensitive Data Inventories | DCH-06.2 | Mechanisms exist to maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually. | null | E-AST-08 | Does the organization maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually? | 9 | Detect | null | X | null | There is no evidence of a capability to maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually. | SP-CMM1 is N/A, since a structured process is required to maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually. | 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 maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually. | null | C1.1-POF1 | null | 3.2 | 3.2 | 3.2 | 3.2 | null | null | DSP-03
DSP-17
STA-07 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OP-3.2 | null | null | ID.IM-P3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.11.a
3.4.11.b
3.4.11.c | null | null | null | null | null | ID.AM-07 | null | 9.7.1 | 9.4.1.2
9.4.5
9.4.5.1 | null | null | null | null | null | null | 9.4.1.2
9.4.5
9.4.5.1 | 9.4.1.2
9.4.5
9.4.5.1 | null | D.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.A.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 | B3.e | null | null | null | null | null | null | null | null | null | 0336 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.4 | null | null | null | null | null | null | null | null | null | null | x | 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-IR-1
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 | null | null | null | R-IR-1 | null | 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 | Periodic Scans for Sensitive Data | DCH-06.3 | Mechanisms exist to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. | null | null | Does the organization periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations? | 7 | Detect | null | X | X | There is no evidence of a capability to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. | SP-CMM1 is N/A, since a structured process is required to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. | SP-CMM2 is N/A, since a well-defined process is required to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. | 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 periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. | null | null | null | 3.2 | 3.2 | 3.2 | 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 | A3.2.5
A3.2.5.1 | null | null | null | null | null | null | null | null | null | D.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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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-IR-1
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 | 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 |
Data Classification & Handling | Making Sensitive Data Unreadable In Storage | DCH-06.4 | Mechanisms exist to ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored. | null | null | Does the organization ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored? | 9 | Protect | null | X | X | There is no evidence of a capability to ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored. | SP-CMM1 is N/A, since a structured process is required to ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored. | 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 sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored. | null | null | null | null | null | null | null | 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 | 3.4
3.4.1 | 9.4 | null | null | null | null | null | null | null | null | null | D.6 | null | null | null | null | null | null | null | null | 4.2.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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-IR-1
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 | 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 |
Data Classification & Handling | Storing Authentication Data | DCH-06.5 | Mechanisms exist to prohibit the storage of sensitive transaction authentication data after authorization. | null | null | Does the organization prohibit the storage of sensitive transaction authentication data after authorization? | 5 | Protect | null | X | X | There is no evidence of a capability to prohibit the storage of sensitive transaction authentication data after authorization. | SP-CMM1 is N/A, since a structured process is required to prohibit the storage of sensitive transaction authentication data after authorization. | 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 prohibit the storage of sensitive transaction authentication data after authorization. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the storage of sensitive transaction authentication data after authorization. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.2
3.2.1
3.2.2
3.2.3 | 3.3.1
3.3.1.1
3.3.1.2
3.3.1.3
3.3.3 | null | 3.3.1
3.3.1.2
3.3.1.3 | 3.3.1
3.3.1.1
3.3.1.2
3.3.1.3 | 3.3.1
3.3.1.1
3.3.1.2
3.3.1.3 | 3.3.1
3.3.1.2
3.3.1.3 | 3.3.1
3.3.1.2 | 3.3.1
3.3.1.1
3.3.1.2
3.3.1.3 | 3.3.1
3.3.1.1
3.3.1.2
3.3.1.3
3.3.3 | 3.1.1
3.3.1.2 | H.3.20 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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-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 | 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 |
Data Classification & Handling | Media Transportation | DCH-07 | Mechanisms exist to protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. | - Assigned couriers | null | Does the organization protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures? | 9 | Protect | X | X | null | There is no evidence of a capability to protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. | SP-CMM1 is N/A, since a structured process is required to protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. | 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 protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. | null | null | null | null | null | null | null | null | null | null | null | null | 8.2.6 | null | null | null | null | null | 8.3.3 | 5.14
7.10 | 8.3.3 | null | null | null | null | null | null | OP-1.1
OP-1.2
OP-1.3 | null | null | null | null | null | null | MP-5 | null | MP-5 | MP-5 | MP-5 | null | null | MP-5 | MP-5 | null | null | null | MP-5 | MP-5 | null | MP-5 | null | null | MP-5 | MP-5 | null | 3.8.5 | 3.8.5.a
3.8.5.b | 3.8.5[a]
3.8.5[b] | A.03.08.05.a[01]
A.03.08.05.a[02]
A.03.08.05.b
A.03.08.05.c | null | null | null | null | null | 9.6
9.6.2
9.6.3
9.7 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | null | D.9.3 | null | 8.3.1 | null | null | null | null | KIM:SG4.SP2
KIM:SG4.SP3 | null | 5.8.2
5.8.2.1 | null | MP.L2-3.8.5 | MP.L2-3.8.5 | null | MP.L2-3.8.5 | MP.L2-3.8.5 | MP-5 | null | null | null | null | null | null | null | MP-5 | null | MP-5 | MP-5 | null | MP-5 | null | MP-5 | MP-5 | null | null | null | null | null | null | null | null | null | null | 2.B.4
2.B.4.1
MP-5 | null | null | 8-605 | 10.7
10.8 | null | null | null | null | null | null | MP-5 | MP-5 | null | null | null | null | null | null | null | null | null | 17.03(2)(c) | null | null | null | 620 | null | null | null | null | null | MP-5 | 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 | 2-6-1-4 | null | null | null | null | 8.5.4 [MP.SI.4] | null | null | null | null | B3.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.3.3 | 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 | x | MA 201 CMR 17
OR 6464A | 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-IR-1
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | 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 | null | R-IR-1 | null | 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 | Custodians | DCH-07.1 | Mechanisms exist to identify custodians throughout the transport of digital or non-digital media. | - Chain of custody | null | Does the organization identify custodians throughout the transport of digital or non-digital media? | 9 | Protect | null | X | null | There is no evidence of a capability to identify custodians throughout the transport of digital or non-digital media. | SP-CMM1 is N/A, since a structured process is required to identify custodians throughout the transport of digital or non-digital 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. | 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 identify custodians throughout the transport of digital or non-digital media. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.2.3 | 5.10
5.14 | 8.2.3 | null | 6.5.2.3 | null | null | null | null | OP-1.1
OP-1.2
OP-1.3 | null | null | null | null | null | null | MP-5(3) | null | null | null | MP-5(3) | null | null | null | null | MP-5(3) | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.11.b
3.8.5.b | null | null | null | null | null | null | null | null | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | 9.4.3 | null | D.9.3 | null | 8.3.1 | null | null | null | null | null | null | 5.8.2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.B.4
2.B.4.1
MP-5(3) | null | null | null | 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 | 15.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-6-1-4 | null | null | null | null | 8.5.3 [MP.SI.3] | null | null | null | null | B3.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | 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-IR-1
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | 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 | null | R-IR-1 | null | 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 | Encrypting Data In Storage Media | DCH-07.2 | Cryptographic mechanisms exist to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. | null | null | Are cryptographic mechanisms utilized to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas? | 5 | Protect | null | X | X | There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. | 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 Cryptographic protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. | null | null | null | null | null | null | null | null | null | null | null | null | null | CR 4.1 (8.3.1(a)) | null | null | null | null | null | 7.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-5(4) | null | MP-5(4) | MP-5(4) | SC-28(1) | null | null | SC-28(1) | SC-28(1) | null | null | null | SC-28(1) | SC-28(1) | null | null | null | null | null | null | null | null | 3.8.5.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.5.2 | null | null | null | null | null | null | null | null | 4.2.4
5.8.2.1 | null | null | null | null | null | null | MP-5(4) | null | null | null | null | null | null | null | MP-5(4) | null | MP-5(4) | MP-5(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-28(1) | null | null | null | 10.8
18.3 | null | null | null | null | null | null | null | MP-5(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-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 | null | null | null | B3.b | 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 | 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-IR-1
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 | 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 |
Data Classification & Handling | Physical Media Disposal | DCH-08 | Mechanisms exist to securely dispose of media when it is no longer required, using formal procedures. | - Shred-it
- IronMountain
- DoD-strength data erasers | E-AST-03 | Does the organization securely dispose of media when it is no longer required, using formal procedures? | 10 | Protect | null | X | X | There is no evidence of a capability to securely dispose of media when it is no longer required, using formal procedures. | SP-CMM1 is N/A, since a structured process is required to securely dispose of media when it is no longer required, using formal procedures. | 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.
• Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes. | 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 securely dispose of media when it is no longer required, using formal procedures. | CC6.5 | CC6.5-POF2
C1.2-POF2
P4.3-POF2
P4.3-POF3 | null | 3.1
3.5 | 3.1
3.5 | 3.1
3.5 | 3.1
3.5 | null | null | DSP-02 | POL-04 | null | null | null | null | null | null | null | 8.3.2 | 7.10
8.10 | 8.3.2 | null | 6.5.3.2
7.4.8 | null | null | null | null | OP-3.3 | Sec 4(D)(2)(k) | null | CT.DM-P5 | null | null | null | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | null | null | MP-6 | MP-6 | MP-6 | 3.4.14 | MP-6 | MP-6 | MP-6 | null | MP-6 | MP-6 | null | 3.8.3 | null | null | null | null | PR.IP-6 | null | null | null | 9.4.6 | 9.4.6 | 9.4.6 | 9.4.6 | 9.4.6 | 9.4.6 | 9.4.6 | 9.4.6 | 9.4.6 | 9.4.1 | D.4.3 | null | null | null | null | null | ASSET-2.H.MIL3 | KIM:SG4.SP3 | null | 5.8.4 | null | null | null | MP.L1-b.1.vii | null | null | MP-6 | null | null | null | 52.204-21(b)(1)(vii) | null | null | null | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | null | D1.G.IT.B.19 | null | null | 314.4(c)(6)(i) | null | 5.S.C | 4.M.C
5.M.D | 4.M.C
5.M.D
9.L.C | 2.D.7
2.F.1
2.F.3
MP-6 | null | null | 8-301
8-608 | 10.3
10.4
18.5
19.5 | null | null | null | null | null | MP-6 | MP-6 | MP-6 | null | 45.48.500
45.48.510 | null | null | null | null | null | null | Sec 40(b)(1) | null | null | null | null | null | 38-99-20(D)(2)(k) | Sec. 521.052(b) | null | MP-6 | MP-6 | MP-6 | null | null | null | null | null | null | null | null | Art 24 | null | null | null | null | null | null | null | null | null | PI-03 | null | null | null | 15.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.11 | null | 2-6-1-3 | null | null | null | null | 8.5.5 [MP.SI.5] | null | null | null | null | null | null | null | Chapter29-Schedule1-Part1-Principle 5 | null | null | null | null | null | null | 1550
0311
1217
0315
1218
0312
0363
1361
1160
1517
0368
0840
0839
0374
0375
0378 | null | null | null | null | null | null | null | null | null | null | 8.3.2 | null | null | 11.7.35.C.01
12.6.6.C.01
12.6.6.C.02
12.6.7.C.01
12.6.7.C.02
13.5.23.C.01
13.5.24.C.01
13.5.24.C.02
13.5.24.C.03
13.5.24.C.04
13.5.25.C.01
13.5.26.C.01
13.5.26.C.02
13.5.26.C.03
13.5.29.C.01
13.5.29.C.02
13.5.30.C.01 | null | null | null | null | 11.1.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21
NAIC | 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-IR-1
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 | null | null | null | R-IR-1 | null | 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 | System Media Sanitization | DCH-09 | Mechanisms exist to sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse. | null | E-AST-03
E-DCH-07 | Does the organization sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse? | 10 | Protect | null | X | X | There is no evidence of a capability to sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse. | SP-CMM1 is N/A, since a structured process is required to sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse. | 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-system 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.
• An ITAM function, or similar function, ensures sanitization equipment and procedures are tested to verify that the intended result is achieved. | 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 sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse. | CC6.5 | CC6.5-POF2
C1.2-POF2 | null | 3.1
3.5 | 3.1
3.5 | 3.1
3.5 | 3.1
3.5 | APO14.07 | null | null | null | null | null | CR 4.2 (8.4.3(1))
CR 4.2 (8.4.3(2)) | null | null | null | null | null | 8.10 | null | null | 7.4.8 | null | null | null | null | null | Sec 4(D)(2)(k) | null | null | null | null | null | MP-6
MP-6(3) | MP-6 | MP-6 | MP-6
MP-6(3) | MP-6
MP-6(3) | MP-6 | MP-6 | MP-6 | MP-6
MP-6(3) | null | null | MP-6 | MP-6 | MP-6
MP-6(3) | null | MP-6 | MP-6 | MP-6 | null | MP-6 | MP-6 | 3.7.3
3.8.3 | 3.7.4.d
3.7.4.d.2
3.8.3 | 3.7.3
3.8.3[a]
3.8.3[b] | A.03.08.03 | null | null | PR.IP-6 | null | null | 9.8
9.8.1
9.8.2 | 9.4.7 | null | null | null | null | null | null | 9.4.7 | 9.4.7 | null | D.4.3.2 | null | null | null | null | null | ASSET-2.H.MIL3 | KIM:SG4.SP3 | null | 5.8.3 | MP.L1-3.8.3 | MA.L2-3.7.3
MP.L1-3.8.3 | MA.L2-3.7.3
MP.L1-3.8.3 | MP.L1-b.1.vii | MA.L2-3.7.3
MA.L2-3.8.3 | MA.L2-3.7.3
MA.L2-3.8.3 | MP-6 | null | null | null | 52.204-21(b)(1)(vii) | null | null | null | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | MP-6 | null | null | null | null | null | null | null | 4.M.C
5.M.D | 4.M.C
5.M.D | 2.D.7
2.F.1
2.F.3
2.F.3.1
MP-6 | null | CIP-011-2
R2 | 8-301
8-608 | null | null | null | null | null | 5.8 | MP-6 | MP-6 | MP-6 | null | 45.48.500
45.48.510 | null | null | null | null | null | null | Sec 40(b)(2) | null | null | null | null | 622(2)(d)(C)(i)
622(2)(d)(C)(iv) | 38-99-20(D)(2)(k) | null | null | MP-6 | MP-6 | MP-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.4 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-19
TPC-66 | null | null | 2-6-1-3 | null | null | null | null | 8.7.6 [MP.INFO.6] | null | null | null | null | B3.e | null | null | null | null | null | null | null | null | null | 0313
1600
0947
0348
0351
0352
0835
1065
0354
1067
0356
0357
0836
0358
0359
0360
0361
0362
1735 | null | null | null | null | null | null | null | null | null | null | null | null | null | 13.4.9.C.01
13.4.11.C.01
13.4.12.C.01
13.4.13.C.01
13.4.13.C.02
13.4.13.C.03
13.4.13.C.04
13.4.13.C.05
13.4.14.C.01
13.4.15.C.01
12.6.5.C.05
13.4.19.C.02
13.4.16.C.01
13.4.17.C.01
13.4.18.C.01
13.4.19.C.01
13.4.20.C.01
13.4.20.C.02
13.4.20.C.03
13.4.21.C.01
13.4.22.C.01 | null | null | null | null | 11.1.7 | null | null | null | null | null | 6.17 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | FAR 52.204-21
NAIC
OR 6464A | 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-IR-1
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 | null | null | null | R-IR-1 | null | 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 | - renamed control
- wordsmithed control |
Data Classification & Handling | System Media Sanitization Documentation | DCH-09.1 | Mechanisms exist to supervise, track, document and verify system media sanitization and disposal actions. | - Certificate of destruction | E-AST-03
E-DCH-07 | Does the organization supervise, track, document and verify system media sanitization and disposal actions? | 7 | Protect | null | X | null | There is no evidence of a capability to supervise, track, document and verify system media sanitization and disposal actions. | SP-CMM1 is N/A, since a structured process is required to supervise, track, document and verify system media sanitization and disposal actions. | 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 supervise, track, document and verify system media sanitization and disposal actions. | null | null | null | null | null | null | null | APO14.07 | null | null | null | null | null | null | null | null | null | null | null | 8.10 | null | null | 7.4.8 | null | null | null | null | null | null | null | null | null | null | null | MP-6(1) | null | null | MP-6(1) | MP-6(1) | null | null | null | MP-6(1) | null | null | null | null | MP-6(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 9.7.1 | 9.4.7 | null | null | null | null | null | null | 9.4.7 | 9.4.7 | null | D.4.3.4 | null | null | null | null | null | null | null | null | 5.8.3 | null | null | null | null | null | null | MP-6(1) | null | null | null | null | null | null | null | MP-6(1) | null | null | MP-6(1) | null | MP-6(1) | null | null | MP-6(1) | null | null | null | null | null | null | null | null | null | null | MP-6(1) | null | null | null | null | null | null | null | null | 5.8 | null | MP-6(1) | MP-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 | 15.8 | 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 | 0316
0363
0370
0371
0372
0373 | null | null | null | null | null | null | null | null | null | null | null | null | null | 13.5.22.C.01
13.5.27.C.01
13.5.27.C.02
13.5.27.C.03
13.5.28.C.01
13.5.28.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-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-IR-1
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 | null | null | null | R-IR-1 | null | 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 | - renamed control
- wordsmithed control |
Data Classification & Handling | Equipment Testing | DCH-09.2 | Mechanisms exist to test sanitization equipment and procedures to verify that the intended result is achieved. | null | null | Does the organization test sanitization equipment and procedures to verify that the intended result is achieved? | 5 | Detect | null | X | X | There is no evidence of a capability to test sanitization equipment and procedures to verify that the intended result is achieved. | SP-CMM1 is N/A, since a structured process is required to test sanitization equipment and procedures to verify that the intended result is achieved. | 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 test sanitization equipment and procedures to verify that the intended result is achieved. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.4.8 | null | null | null | null | null | null | null | null | null | null | null | MP-6(2) | null | null | MP-6(2) | MP-6(2) | null | null | null | MP-6(2) | null | null | null | null | MP-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 | P.7.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-6(2) | null | null | null | null | null | null | null | MP-6(2) | null | MP-6(2) | MP-6(2) | null | MP-6(2) | null | null | MP-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 | MP-6(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.8 | 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 | 13.4.23.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-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-IR-1
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 | null | null | null | R-IR-1 | null | 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 | Sanitization of Personal Data (PD) | DCH-09.3 | Mechanisms exist to facilitate the sanitization of Personal Data (PD). | - De-identifying PI | null | Does the organization facilitate the sanitization of Personal Data (PD)? | 9 | Protect | null | X | X | There is no evidence of a capability to facilitate the sanitization of Personal Data (PD). | SP-CMM1 is N/A, since a structured process is required to facilitate the sanitization of Personal Data (PD). | 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 facilitate the sanitization of Personal Data (PD). | P4.3 | null | null | null | null | null | null | APO14.07 | null | null | null | null | null | null | null | null | null | null | null | 8.10 | null | null | 7.4.8 | null | null | null | null | null | null | null | CT.DM-P5 | null | null | null | null | null | null | null | MP-6
MP-6(3) | MP-6 | MP-6 | MP-6 | MP-6
MP-6(3) | null | null | MP-6 | MP-6 | MP-6
MP-6(3) | null | MP-6 | MP-6 | MP-6 | null | MP-6 | MP-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.7.7 | null | null | null | null | null | ASSET-2.H.MIL3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.D.7
2.F.1
2.F.3
2.F.3.1
MP-6 | null | null | null | null | null | null | null | null | 5.5
5.9 | null | null | null | null | 45.48.500 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-6 | null | null | null | null | null | null | null | null | Art 5.1 | null | Art 24 | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 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 | null | null | null | null | null | null | null | null | Art 4.7
Art 16.7
Art 25.2 | null | null | Art 16 | null | null | null | null | null | null | null | null | null | null | null | null | x | 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-IR-1
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 | null | null | null | R-IR-1 | null | 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 | First Time Use Sanitization | DCH-09.4 | Mechanisms exist to apply nondestructive sanitization techniques to portable storage devices prior to first use. | null | null | Does the organization apply nondestructive sanitization techniques to portable storage devices prior to first use? | 5 | Protect | null | X | X | There is no evidence of a capability to apply nondestructive sanitization techniques to portable storage devices prior to first use. | SP-CMM1 is N/A, since a structured process is required to apply nondestructive sanitization techniques to portable storage devices prior to first use. | 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 apply nondestructive sanitization techniques to portable storage devices prior to first use. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to apply nondestructive sanitization techniques to portable storage devices prior to first use. | null | null | null | null | null | null | null | APO14.07 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.4.8 | null | null | null | null | null | null | null | null | null | null | null | MP-6(3) | null | null | MP-6(3) | MP-6(3) | null | null | null | MP-6(3) | null | null | null | null | MP-6(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 | L.23.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-6(3) | null | null | MP-6(3) | null | MP-6(3) | null | null | MP-6(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 | 1600
1642 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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-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 | 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 |
Data Classification & Handling | Dual Authorization for Sensitive Data Destruction | DCH-09.5 | Mechanisms exist to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data. | null | null | Does the organization enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data? | 5 | Protect | null | X | X | There is no evidence of a capability to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data. | SP-CMM1 is N/A, since a structured process is required to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data. | SP-CMM2 is N/A, since a well-defined process is required to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains 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. | 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 enforce dual authorization for the destruction, disposal or sanitization of digital media that contains 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 | MP-6(7) | null | null | null | MP-6(7) | null | null | null | null | MP-6(7) | 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.4.3.2 | 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 | 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-IR-1
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 | null | R-IR-1 | null | 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 | Media Use | DCH-10 | Mechanisms exist to restrict the use of types of digital media on systems or system components. | null | null | Does the organization restrict the use of types of digital media on systems or system components? | 8 | Protect | null | X | null | There is no evidence of a capability to restrict the use of types of digital media on systems or system components. | SP-CMM1 is N/A, since a structured process is required to restrict the use of types of digital media on systems or system components. | 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 use of types of digital media on systems or system components. | CC6.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.3.1 | 7.10 | 8.3.1 | null | 6.5.3.1 | null | null | null | T1025, T1052, T1052.001, T1091, T1092, T1200 | null | null | null | null | null | null | null | MP-7
SC-8(2) | MP-7 | MP-7 | MP-7 | MP-7
SC-8(2) | null | MP-7 | MP-7 | MP-7 | SC-8(2) | null | MP-7 | MP-7 | MP-7 | null | null | null | null | null | null | null | 3.8.7 | 3.8.7.a
3.8.7.b | 3.8.7 | A.03.08.07.a
A.03.08.07.ODP[01] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3 | null | null | null | null | null | null | KIM:SG2.SP2
TM:SG2.SP2 | null | null | null | MP.L2-3.8.7 | MP.L2-3.8.7 | null | MP.L2-3.8.7 | MP.L2-3.8.7 | MP-7
SC-8(2) | null | null | null | null | null | null | null | MP-7
MP-7(1) | MP-7 | MP-7
MP-7(1) | MP-7
MP-7(1) | MP-7 | MP-7 | MP-7 | MP-7 | MP-7 | MP-7 | null | null | null | null | null | null | null | null | null | MP-7 | null | null | 8-306
8-310 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-7 | MP-7 | MP-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 | 2-3-3-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0341
0343 | null | null | null | null | null | null | null | null | null | null | 8.3.1 | null | null | 13.3.4.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-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-IR-1
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 | 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 |
Data Classification & Handling | Limitations on Use | DCH-10.1 | Mechanisms exist to restrict the use and distribution of sensitive / regulated data. | null | null | Does the organization restrict the use and distribution of sensitive / regulated data? | 10 | Protect | null | X | null | There is no evidence of a capability to restrict the use and distribution of sensitive / regulated data. | SP-CMM1 is N/A, since a structured process is required to restrict the use and distribution 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:
• 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.
• Administrative processes and technologies:
o Collect Personal data (PD) directly from the individual.
o Correct Personal data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.
o De-identify the dataset up on collection by not collecting Personal data (PD).
o Govern how data is reclassified due to changing business/technical requirements to ensure the integrity of data classification is upheld through the data lifecycle.
o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA).
o Refrain from archiving Personal data (PD) elements if those elements in a dataset will not be needed after the dataset is archived.
o Remove Personal data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.
o Remove Personal data (PD) from datasets.
o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the DPIA.
o Identify custodians throughout the transport of system media.
o Minimize the use of Personal data (PD) for research, testing or training, in accordance with the DPIA.
o Minimize the use of Personal data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA).
o Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | 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. | Data Classification & Handling (DCH) 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 | 7.10 | null | null | 7.4.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.5.a
3.1.5.b
3.8.4 | null | A.03.01.02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 252.204-7009 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0341
0343 | null | null | null | null | null | null | null | null | null | null | null | null | null | 13.3.4.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-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-IR-1
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 | 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 |
Data Classification & Handling | Prohibit Use Without Owner | DCH-10.2 | Mechanisms exist to prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner. | null | null | Does the organization prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner? | 5 | Protect | null | X | X | There is no evidence of a capability to prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner. | 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:
• 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 prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MP-7(1) | null | null | null | MP-7 | null | MP-7 | MP-7 | MP-7 | null | null | MP-7 | MP-7 | MP-7 | null | null | null | null | null | null | null | 3.8.8 | 3.8.7.b | 3.8.8 | A.03.08.07.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3.5 | null | null | null | null | null | null | null | null | null | null | MP.L2-3.8.8 | MP.L2-3.8.8 | null | MP.L2-3.8.8 | MP.L2-3.8.8 | MP-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 | MP-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 | MP-7 | null | MP-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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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-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 | 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 |
Data Classification & Handling | Data Reclassification | DCH-11 | Mechanisms exist to reclassify data, including associated systems, applications and services, commensurate with the security category and/or classification level of the information. | null | null | Does the organization reclassify data, including associated systems, applications and services, commensurate with the security category and/or classification level of the information? | 8 | Protect | null | X | X | There is no evidence of a capability to reclassify data, including associated systems, applications and services, commensurate with the security category and/ or classification level of the information. | SP-CMM1 is N/A, since a structured process is required to reclassify data, including associated systems, applications and services, commensurate with the security category and/ or classification level of the information. | 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. | Data Classification & Handling (DCH) 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 | MP-8 | null | null | null | MP-8
MP-8(3) | null | null | null | null | MP-8
MP-8(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.7.1 | null | null | null | null | null | null | KIM:SG4.SP3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8-310 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0330 | null | null | null | null | null | null | null | null | null | null | null | null | null | 13.2.10.C.01
13.2.11.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-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-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 | 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 |
Data Classification & Handling | Removable Media Security | DCH-12 | Mechanisms exist to restrict removable media in accordance with data handling and acceptable usage parameters. | null | null | Does the organization restrict removable media in accordance with data handling and acceptable usage parameters? | 10 | Protect | X | X | X | There is no evidence of a capability to restrict removable media in accordance with data handling and acceptable usage parameters. | SP-CMM1 is N/A, since a structured process is required to restrict removable media in accordance with data handling and acceptable usage parameters. | 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 removable media in accordance with data handling and acceptable usage parameters. | CC6.7 | CC6.7-POF3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.3.1 | 7.10 | 8.3.1 | null | 6.5.3.1 | null | null | null | null | null | null | null | PR.PT-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 | 3.8.7.b | null | null | null | null | PR.PT-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | D.3.5 | null | null | null | null | null | ARCHITECTURE-5.G.MIL3 | null | 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 | D1.G.SP.B.4
D3.PC.De.B.1
D3.PC.Im.E.3 | null | null | null | null | null | null | null | null | null | CIP-010-2
R4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.24 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-3-3-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1359
1713 | null | null | null | null | null | null | null | null | null | null | 8.3.1 | null | null | 13.3.6.C.01
13.3.6.C.02
13.3.6.C.03
13.3.10.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-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-IR-1
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 | 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 |
Data Classification & Handling | Use of External Information Systems | DCH-13 | Mechanisms exist to govern how external parties, systems and services are used to securely store, process and transmit data. | null | null | Does the organization govern how external parties, systems and services are used to securely store, process and transmit data? | 9 | Protect | X | X | X | There is no evidence of a capability to govern how external parties, systems and services are used to securely store, process and transmit data. | SP-CMM1 is N/A, since a structured process is required to govern how external parties, systems and services are used to securely store, process and transmit 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:
• 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. | Data Classification & Handling (DCH) 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. | CC6.7 | 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 | T1020.001, T1021, T1021.001, T1021.004, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1072, T1078.002, T1078.004, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1114, T1114.001, T1114.002, T1114.003, T1119, T1133, T1134.005, T1136, T1136.001, T1136.002, T1136.003, T1200, T1530, T1537, T1539, T1550.001, T1552, T1552.004, T1552.005, T1556, T1556.001, T1556.003, T1556.004, T1557, T1557.002, T1565, T1565.001, T1565.002, T1567, T1567.001, T1567.002, T1602, T1602.001, T1602.002 | null | null | null | null | null | null | null | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | null | AC-20 | AC-20 | AC-20 | null | null | AC-20 | AC-20 | AC-20 | null | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | 3.1.20 | 3.1.20.a
3.1.20.b
3.1.20.c
3.1.20.c.1
3.1.20.c.2
3.1.20.d | 3.1.20[a]
3.1.20[b]
3.1.20[c]
3.1.20[d]
3.1.20[e]
3.1.20[f] | A.03.01.20.a
A.03.01.20.b[01]
A.03.01.20.b[02]
A.03.01.20.c.01
A.03.01.20.c.02
A.03.01.20.ODP[01]
A.03.01.20.ODP[02] | null | null | ID.AM-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | P.9.2 | null | 5.3.4 | null | null | null | null | EXD:SG3.SP1 | null | null | AC.L1-3.1.20 | AC.L1-3.1.20 | AC.L1-3.1.20 | AC.L1-b.1.iii | AC.L2-3.1.20 | AC.L2-3.1.20 | AC-20 | null | null | null | 52.204-21(b)(1)(iii) | null | null | null | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | AC-20 | null | null | null | null | null | null | null | null | null | AC-20 | null | null | 8-700 | null | 6.4 | null | null | null | null | AC-20 | AC-20 | AC-20 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-20 | AC-20 | AC-20 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 11.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4-2-3-1 | 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 | FAR 52.204-21 | null | x | 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-IR-1
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 | null | R-IR-1 | null | 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 | Limits of Authorized Use | DCH-13.1 | Mechanisms exist to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first:
▪ Verifying the implementation of required security controls; or
▪ Retaining a processing agreement with the entity hosting the external systems or service. | null | null | Does the organization prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first:
▪ Verifying the implementation of required security controls; or
▪ Retaining a processing agreement with the entity hosting the external systems or service? | 8 | Protect | null | X | X | There is no evidence of a capability to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first:
▪ Verifying the implementation of required security controls; or
▪ Retaining a processing agreement with the entity hosting the external systems or service. | SP-CMM1 is N/A, since a structured process is required to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first:
▪ Verifying the implementation of required security controls; or
▪ Retaining a processing agreement with the entity hosting the external systems or service. | 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 prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first:
▪ Verifying the implementation of required security controls; or
▪ Retaining a processing agreement with the entity hosting the external systems or service. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first:
▪ Verifying the implementation of required security controls; or
▪ Retaining a processing agreement with the entity hosting the external systems or service. | null | null | null | 3.3 | 3.3 | 3.3 | 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 | AC-20(1) | null | AC-20(1) | AC-20(1) | AC-20(1) | null | null | AC-20(1) | AC-20(1) | null | null | null | AC-20(1) | AC-20(1) | null | AC-20(1) | null | null | null | AC-20(1) | AC-20(1) | 3.1.20 | 3.1.20.a
3.1.20.b
3.1.20.c
3.1.20.c.1
3.1.20.c.2
3.1.20.d | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.9.2 | null | null | null | null | null | null | null | null | null | AC.L1-3.1.20 | AC.L1-3.1.20 | null | AC.L1-b.1.iii | AC.L2-3.1.20 | AC.L2-3.1.20 | AC-20(1) | null | null | null | 52.204-21(b)(1)(iii) | null | null | null | AC-20(1) | null | AC-20(1) | AC-20(1) | null | AC-20(1) | null | AC-20(1) | AC-20(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-20(1) | AC-20(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-20(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 | Article 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 | FAR 52.204-21 | null | x | 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-IR-1
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 | 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 |
Data Classification & Handling | Portable Storage Devices | DCH-13.2 | Mechanisms exist to restrict or prohibit the use of portable storage devices by users on external systems. | null | null | Does the organization restrict or prohibit the use of portable storage devices by users on external systems? | 9 | Protect | null | X | X | There is no evidence of a capability to restrict or prohibit the use of portable storage devices by users on external systems. | SP-CMM1 is N/A, since a structured process is required to restrict or prohibit the use of portable storage devices by users on external systems. | 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 restrict or prohibit the use of portable storage devices by users on external systems. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict or prohibit the use of portable storage devices by users on external systems. | CC6.7 | 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 | AC-20(2)
AC-20(5) | null | AC-20(2) | AC-20(2) | AC-20(2)
AC-20(5) | null | null | AC-20(2) | AC-20(2) | null | null | null | AC-20(2) | AC-20(2) | null | null | null | null | null | null | null | 3.1.21 | 3.1.20.a
3.1.20.c
3.1.20.c.1
3.1.20.c.2
3.1.20.d
3.8.7.b | 3.1.21[a]
3.1.21[b]
3.1.21[c] | A.03.01.20.d | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.28 | null | null | null | null | null | null | null | 2.4 | 4.2.4 | null | AC.L2-3.1.21 | AC.L2-3.1.21 | AC.L1-b.1.iii | AC.L2-3.1.21 | AC.L2-3.1.21 | AC-20(2) | null | null | null | 52.204-21(b)(1)(iii) | null | null | null | AC-20(2) | null | AC-20(2) | AC-20(2) | null | AC-20(2) | null | AC-20(2) | AC-20(2) | null | null | null | null | null | null | null | null | null | null | AC-20(2)
AC-20(5) | null | null | null | 10.7 | null | null | null | null | null | null | null | AC-20(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-20(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 | 5-1-3-5 | 2-3-1-8
2-3-1-9 | 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 | 13.3.7.C.01
13.3.7.C.02
13.3.8.C.01
13.3.8.C.02
13.3.9.C.01
13.3.9.C.02
13.3.10.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 | FAR 52.204-21 | null | x | 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-IR-1
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 | null | R-IR-1 | null | 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 | Protecting Sensitive Data on External Systems | DCH-13.3 | Mechanisms exist to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations. | - NIST 800-171 Compliance Criteria (NCC) (ComplianceForge) | null | Does the organization ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations? | 10 | Protect | X | X | X | There is no evidence of a capability to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations. | SP-CMM1 is N/A, since a structured process is required to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations. | 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 the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations. | null | null | null | null | null | null | null | 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 | PM-17 | PM-17 | null | null | null | null | null | null | null | null | null | PM-17 | null | null | null | PM-17 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.7.5 | null | null | null | null | null | null | null | null | null | null | null | null | AC.L1-b.1.iii | null | null | null | null | null | null | 52.204-21(b)(1)(iii) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.4 | null | null | null | null | null | null | null | null | null | null | null | null | 6-1-1308(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 | 11.6 | 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 | FAR 52.204-21 | 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-IR-1
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 | null | R-IR-1 | null | 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 | Non-Organizationally Owned Systems / Components / Devices | DCH-13.4 | Mechanisms exist to restrict the use of non-organizationally owned information systems, system components or devices to process, store or transmit organizational information. | null | null | Does the organization restrict the use of non-organizationally owned information systems, system components or devices to process, store or transmit organizational information? | 5 | Protect | null | X | X | There is no evidence of a capability to restrict the use of non-organizationally owned information systems, system components or devices to process, store or transmit organizational information. | 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:
• 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 use of non-organizationally owned information systems, system components or devices to process, store or transmit organizational information. | null | null | null | null | null | null | null | null | null | null | 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-20(3) | null | null | null | AC-20(3) | null | null | null | null | AC-20(3) | null | null | null | null | null | AC-20(3) | null | null | null | AC-20(3) | AC-20(3) | null | 3.1.20.a
3.1.20.c
3.1.20.c.1
3.1.20.c.2
3.1.20.d | null | null | 3.1.2e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.16 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.1.2e | null | null | AC.L3-3.1.2e | null | null | null | 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-20(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 | x | 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-IR-1
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 | null | R-IR-1 | null | 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 | Information Sharing | DCH-14 | Mechanisms exist to utilize a process to assist users in making information sharing decisions to ensure data is appropriately protected. | - ShareFile
- SmartVault
- Veris (incident sharing) (http://veriscommunity.net) | null | Does the organization utilize a process to assist users in making information sharing decisions to ensure data is appropriately protected? | 9 | Protect | X | X | null | There is no evidence of a capability to utilize a process to assist users in making information sharing decisions to ensure data is appropriately protected. | SP-CMM1 is N/A, since a structured process is required to utilize a process to assist users in making information sharing decisions to ensure data is appropriately protected. | 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. | Data Classification & Handling (DCH) 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. | CC6.7 | null | null | 3.3 | 3.3 | 3.3 | 3.3 | null | null | DSP-10 | null | null | null | null | RQ-05-09 | null | null | null | 13.2
13.2.1
13.2.2 | 5.14 | 13.2
13.2.1
13.2.2 | null | 6.10.2
6.10.2.1
6.10.2.2
7.4.9
8.4.3 | null | null | null | T1213, T1213.001, T1213.002 | null | null | null | null | null | null | null | AC-21 | null | AC-21 | AC-21 | AC-21 | null | null | AC-21 | AC-21 | null | null | null | AC-21 | AC-21 | null | AC-21 | null | null | AC-21 | AC-21 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.9.1 | 2.1
2.11A | null | null | null | null | null | KIM:SG2.SP1
KIM:SG2.SP2 | null | 5.1
5.1.1
5.1.1.2
5.1.1.3
5.1.1.4
5.1.1.5
5.1.1.6
5.1.1.7
5.1.1.8
5.1.4 | null | null | null | null | null | null | AC-21 | null | null | null | null | null | null | null | AC-21 | null | AC-21 | AC-21 | null | AC-21 | null | AC-21 | AC-21 | null | null | null | null | null | null | null | null | null | null | AC-21 | 120.54(a)(5) | null | null | null | null | null | null | null | null | null | null | AC-21 | null | 45.48.420 45.48.430 | null | null | null | 6-1-1307(2)
6-1-1307(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-21 | null | null | null | null | null | null | Art 46 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.4
10.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 72 | null | null | null | null | null | null | B3.b | null | null | null | null | null | null | null | null | null | 0663
0661
0665
0664
0675
0657
1187
0669
1535 | null | null | null | null | null | null | null | null | null | null | 13.2
13.2.1
13.2.2 | null | null | 20.1.6.C.01
20.1.6.C.02
20.1.7.C.01
20.1.7.C.02
20.1.8.C.01
20.1.9.C.01
20.1.10.C.01
20.1.10.C.02
20.1.11.C.01
20.1.12.C.01
20.1.13.C.01
20.2.3.C.01
20.2.4.C.01
20.2.5.C.01
20.2.6.C.01
20.2.6.C.02
20.2.6.C.03
20.2.7.C.01
20.2.8.C.01
20.2.9.C.01
20.2.9.C.02
20.2.9.C.03
20.2.9.C.04
20.2.10.C.01
20.2.10.C.02
20.2.11.C.01
20.2.11.C.02
20.2.11.C.03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 23 | null | null | null | x | null | null | x | 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-IR-1
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 | 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 |
Data Classification & Handling | Information Search & Retrieval | DCH-14.1 | Mechanisms exist to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions. | null | null | Does the organization ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions? | 5 | Protect | null | X | X | There is no evidence of a capability to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions. | SP-CMM1 is N/A, since a structured process is required to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions. | 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 information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions. | null | null | null | null | null | null | null | null | null | null | 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-21(2) | null | null | null | AC-21(2) | null | null | null | null | AC-21(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 | P.7.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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-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 | null | null | null | R-IR-1 | null | 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 | Transfer Authorizations | DCH-14.2 | Mechanisms exist to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data. | null | null | Does the organization verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data? | 8 | Protect | null | X | null | There is no evidence of a capability to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data. | SP-CMM1 is N/A, since a structured process is required to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said 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:
• 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 verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data. | null | null | null | 3.3 | 3.3 | 3.3 | 3.3 | null | null | DSP-10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.15 | null | null | null | null | null | null | null | null | null | null | CA-3(6) | null | null | null | CA-3(6) | null | null | null | null | CA-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 | N.11.1 | 2.4A
2.5A
2.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CA-3(6) | null | null | CA-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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 25(h) | null | null | null | null | null | null | null | null | 2-6-1-5 | null | null | null | null | Article 64
Article 64.1
Article 64.2
Article 64.3
Article 64.4 | null | null | null | null | null | null | null | null | B3.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 20.1.8.C.01
20.2.4.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-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-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 | 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 |
Data Classification & Handling | Data Access Mapping | DCH-14.3 | Mechanisms exist to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared. | null | null | Does the organization develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared? | 9 | Identify | X | X | null | There is no evidence of a capability to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared. | SP-CMM1 is N/A, since a structured process is required to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared. | 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 develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared. | null | null | null | 3.3 | 3.3 | 3.3 | 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 | N.2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B3.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.2.5.C.01
16.2.6.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-4
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | null | R-AC-4 | null | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | null | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | 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 |
Data Classification & Handling | Publicly Accessible Content | DCH-15 | Mechanisms exist to control publicly-accessible content. | - Designate individuals authorized to post information onto systems that are publicly accessible.
- Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information.
- Review the proposed content of publicly accessible information for nonpublic information prior to posting.
- Remove nonpublic information from the publicly accessible system. | null | Does the organization control publicly-accessible content? | 10 | Protect | null | X | X | There is no evidence of a capability to control publicly-accessible content. | 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:
• 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 publicly-accessible content. | null | null | null | null | null | null | null | null | null | null | 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-22 | AC-22 | AC-22 | AC-22 | AC-22 | null | AC-22 | AC-22 | AC-22 | null | null | AC-22 | AC-22 | AC-22 | null | AC-22 | AC-22 | null | null | AC-22 | AC-22 | 3.1.22 | 3.1.22.a
3.1.22.b | 3.1.22[a]
3.1.22[b]
3.1.22[c]
3.1.22[d]
3.1.22[e] | A.03.01.22.a
A.03.01.22.b[01]
A.03.01.22.b[02] | null | null | null | null | null | null | 1.4.4 | null | 1.4.4 | null | null | null | null | 1.4.4 | 1.4.4 | null | D.12.1 | null | null | null | null | null | null | ID:SG1.SP2
KIM:SG1.SP2 | null | null | AC.L1-3.1.22 | AC.L1-3.1.22 | AC.L1-3.1.22 | AC.L1-b.1.iv | AC.L2-3.1.22 | AC.L2-3.1.22 | AC-22 | null | null | null | 52.204-21(b)(1)(iv) | null | null | null | AC-22 | AC-22 | AC-22 | AC-22 | AC-22 | AC-22 | AC-22 | AC-22 | AC-22 | AC-22 | null | null | null | null | null | null | null | null | null | 3.3.8
AC-22 | 120.11 | null | null | null | 6.5 | null | null | null | null | null | null | AC-22 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-22 | AC-22 | AC-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 | null | null | null | null | null | null | null | FAR 52.204-21 | 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-IR-1
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 | 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 |
Data Classification & Handling | Data Mining Protection | DCH-16 | Mechanisms exist to protect data storage objects against unauthorized data mining and data harvesting techniques. | null | null | Does the organization protect data storage objects against unauthorized data mining and data harvesting techniques? | 7 | Protect | null | X | X | There is no evidence of a capability to protect data storage objects against unauthorized data mining and data harvesting techniques. | 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:
• 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 protect data storage objects against unauthorized data mining and data harvesting techniques. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | T1005, T1025, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1133, T1213, T1213.001, T1213.002, T1552.007, T1567 | null | null | null | null | null | null | null | AC-23 | null | null | null | AC-23 | null | null | null | null | AC-23 | null | null | null | null | null | AC-23 | null | AC-23 | null | AC-23 | AC-23 | 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 | KIM:SG2.SP2
KIM:SG4.SP2 | null | null | null | null | null | AC.L1-b.1.iv | null | null | null | null | null | null | 52.204-21(b)(1)(iv) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-23 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 20.4.3.C.01
20.4.3.C.02
20.4.3.C.03
20.4.3.C.04
20.4.4.C.01
20.4.4.C.02
20.4.5.C.01
20.4.5.C.02
20.4.6.C.01
20.4.6.C.02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | FAR 52.204-21 | 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-IR-1
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 | 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 |
Data Classification & Handling | Ad-Hoc Transfers | DCH-17 | Mechanisms exist to secure ad-hoc exchanges of large digital files with internal or external parties. | - ShareFile
- Box | null | Does the organization secure ad-hoc exchanges of large digital files with internal or external parties? | 8 | Protect | null | X | X | There is no evidence of a capability to secure ad-hoc exchanges of large digital files with internal or external parties. | 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:
• 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. | Data Classification & Handling (DCH) 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. | CC6.7 | CC6.7-POF1 | null | null | null | null | null | null | null | DSP-10 | null | null | null | null | null | null | null | null | 13.2.1 | 5.14 | 13.2.1 | null | null | null | null | null | null | TS-1.15 | 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 | 3.1.3E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.24.1 | 2.1
2.4A
2.5A | null | null | null | null | null | null | null | null | null | null | null | AC.L1-b.1.iii | null | AC.L3-3.1.3e | null | null | null | null | 52.204-21(b)(1)(iii) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 5.1
5.4
10.5 | null | null | null | null | null | null | null | null | null | null | null | 2-6-1-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | B3.b | null | null | null | null | null | null | null | null | null | 0347
0947
1778
1779 | null | null | null | null | null | null | null | null | null | null | 13.2.1 | null | null | 20.1.11.C.01
20.2.6.C.01
20.2.6.C.02
20.2.6.C.03
20.2.7.C.01
20.2.8.C.01
20.2.9.C.01
20.2.9.C.02
20.2.9.C.03
20.2.9.C.04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 23 | null | null | null | null | FAR 52.204-21 | null | x | 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-IR-1
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 | 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 |
Data Classification & Handling | Media & Data Retention | DCH-18 | Mechanisms exist to retain media and data in accordance with applicable statutory, regulatory and contractual obligations. | - Data Protection Impact Assessment (DPIA) | E-AST-11 | Does the organization retain media and data in accordance with applicable statutory, regulatory and contractual obligations? | 8 | Protect | null | X | X | There is no evidence of a capability to retain media and data in accordance with applicable statutory, regulatory and contractual obligations. | 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:
• 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 retain media and data in accordance with applicable statutory, regulatory and contractual obligations. | PI1.5 | PI1.5 | null | 3.1
3.4 | 3.1
3.4 | 3.1
3.4 | 3.1
3.4 | APO14.09 | null | DSP-16 | null | null | null | null | null | null | null | null | 8.3
18.1.3 | 5.33
8.10 | 8.3
18.1.3 | null | 6.5.3
6.15.1.3
7.4.7 | null | null | null | T1003, T1003.003, T1020.001, T1040, T1070, T1070.001, T1070.002, T1114, T1114.001, T1114.002, T1114.003, T1119, T1530, T1548, T1548.004, T1550.001, T1552, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002 | PS-1.1
TS-1.0 | null | null | null | null | null | null | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | null | null | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | null | SI-12 | SI-12 | null | null | null | SI-12 | null | 3.14.8 | null | A.03.14.08[01]
A.03.14.08[02]
A.03.14.08[03]
A.03.14.08[04] | 3.14.5e | null | null | null | null | 3.1
3.2
3.2.1
3.2.2
3.2.3
10.7 | 3.2.1
9.4.6
9.4.7
10.5.1
11.4.1 | 3.2.1
9.4.6 | 3.2.1
9.4.6
10.5.1
11.4.1 | 9.4.6 | 9.4.6 | 9.4.6
10.5.1 | 9.4.6 | 3.2.1
9.4.6
9.4.7
10.5.1
11.4.1 | 3.2.1
9.4.6
9.4.7
10.5.1
11.4.1 | 3.2.1
9.4.6 | D.4 | null | null | null | null | null | null | KIM:SG2.SP2
KIM:SG6.SP1
TM:SG2.SP2 | null | null | null | null | TBD - 3.14.5e | null | null | null | MP-7
SI-12 | null | null | null | null | null | null | § 11.2
§ 11.2(a)
§ 11.2(a)(1)
§ 11.2(a)(2)
§ 11.10 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | null | null | Securities Exchange Act of 1934 (17 CFR §240.17a-4(f)) | null | 314.4(c)(6)(ii) | 164.316(b)(2)
164.316(b)(2)(i)
164.530(j)(1) | null | null | null | MP-7
SI-12 | null | null | 8-306
8-310 | null | null | null | null | null | null | SI-12 | SI-12 | SI-12 | IV.A
IV.B
IV.B.1
IV.B.2 | null | null | null | null | null | null | null | null | null | null | 500.12 | null | 622(2)(C)(i) (iv) | null | null | null | MP-7
SI-12 | MP-7
SI-12 | MP-7
SI-12 | null | null | null | null | null | null | Art 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 | 2-6-1-4
2-11-2 | null | null | null | null | Article 5.5 | null | Sec 9 | null | 9 | null | null | null | null | B3.a | null | null | Chapter29-Schedule1-Part1-Principle 3 & 5 | null | null | null | null | null | null | 1510
0859
0991 | null | null | null | null | null | Article 19 | null | null | null | null | 8.3
18.1.3
18.1.3.13.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 | OR 6464A | null | x | 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-IR-1
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 | null | R-IR-1 | null | 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 | Minimize Personal Data (PD) | DCH-18.1 | Mechanisms exist to limit Personal Data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA). | - Data Protection Impact Assessment (DPIA) | null | Does the organization limit Personal Data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA)? | 8 | Protect | null | X | null | There is no evidence of a capability to limit Personal Data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA). | 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:
• 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/process owners document where personal data is stored, transmitted and processed in order to document sensitive/regulated data flows.
• Administrative processes and technologies:
o Collect Personal data (PD) directly from the individual.
o Correct Personal data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.
o De-identify the dataset up on collection by not collecting Personal data (PD).
o Govern how data is reclassified due to changing business/technical requirements to ensure the integrity of data classification is upheld through the data lifecycle.
o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA).
o Refrain from archiving Personal data (PD) elements if those elements in a dataset will not be needed after the dataset is archived.
o Remove Personal data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.
o Remove Personal data (PD) from datasets.
o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the DPIA.
o Identify custodians throughout the transport of system media.
o Minimize the use of Personal data (PD) for research, testing or training, in accordance with the DPIA.
o Minimize the use of Personal data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA).
o Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | 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. | Data Classification & Handling (DCH) 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 | 7.4.2
7.4.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-12(1) | SI-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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 35.1
Art 35.2
Art 35.3
Art 35.6
Art 35.8
Art 35.9
Art 35.11 | 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 | Sec 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 | x | 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-IR-1
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 | 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 |
Data Classification & Handling | Limit Personal Data (PD) Elements In Testing, Training & Research | DCH-18.2 | Mechanisms exist to minimize the use of Personal Data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA). | - Data Protection Impact Assessment (DPIA) | null | Does the organization minimize the use of Personal Data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA)? | 8 | Protect | null | X | X | There is no evidence of a capability to minimize the use of Personal Data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA). | 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:
• 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/process owners document where personal data is stored, transmitted and processed in order to document sensitive/regulated data flows.
• Administrative processes and technologies:
o Collect Personal data (PD) directly from the individual.
o Correct Personal data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.
o De-identify the dataset up on collection by not collecting Personal data (PD).
o Govern how data is reclassified due to changing business/technical requirements to ensure the integrity of data classification is upheld through the data lifecycle.
o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA).
o Refrain from archiving Personal data (PD) elements if those elements in a dataset will not be needed after the dataset is archived.
o Remove Personal data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.
o Remove Personal data (PD) from datasets.
o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the DPIA.
o Identify custodians throughout the transport of system media.
o Minimize the use of Personal data (PD) for research, testing or training, in accordance with the DPIA.
o Minimize the use of Personal data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA).
o Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | 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 minimize the use of Personal Data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA). | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.4.4 | 5.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PM-25
SI-12(2)
SA-8(33)
SA-15(12) | PM-25
SI-12(2)
SA-8(33) | null | null | null | SA-15(12) | null | null | null | null | null | PM-25 | null | null | null | PM-25 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.7.4 | 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 | SI-12(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6-1-1308(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 5.1
Art 35.1
Art 35.2
Art 35.3
Art 35.6
Art 35.8
Art 35.9
Art 35.11 | 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 | Article 5.1 | null | Sec 19 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 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 | x | 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-IR-1
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 | 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 |
Data Classification & Handling | Temporary Files Containing Personal Data (PD) | DCH-18.3 | Mechanisms exist to perform periodic checks of temporary files for the existence of Personal Data (PD). | null | null | Does the organization perform periodic checks of temporary files for the existence of Personal Data (PD)? | 5 | Protect | null | null | X | There is no evidence of a capability to perform periodic checks of temporary files for the existence of Personal Data (PD). | 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:
• 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/process owners document where personal data is stored, transmitted and processed in order to document sensitive/regulated data flows.
• Administrative processes and technologies:
o Collect Personal data (PD) directly from the individual.
o Correct Personal data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.
o De-identify the dataset up on collection by not collecting Personal data (PD).
o Govern how data is reclassified due to changing business/technical requirements to ensure the integrity of data classification is upheld through the data lifecycle.
o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA).
o Refrain from archiving Personal data (PD) elements if those elements in a dataset will not be needed after the dataset is archived.
o Remove Personal data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.
o Remove Personal data (PD) from datasets.
o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the DPIA.
o Identify custodians throughout the transport of system media.
o Minimize the use of Personal data (PD) for research, testing or training, in accordance with the DPIA.
o Minimize the use of Personal data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA).
o Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | 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. | Data Classification & Handling (DCH) 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 | 7.4.6
8.4.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.4.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-IR-1
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 | 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 |
Data Classification & Handling | Geographic Location of Data | DCH-19 | Mechanisms exist to inventory, document and maintain data flows for data that is resident (permanently or temporarily) within a service's geographically distributed applications (physical and virtual), infrastructure, systems components and/or shared with other third-parties. | null | E-AST-23 | Does the organization inventory, document and maintain data flows for data that is resident (permanently or temporarily) within a service's geographically distributed applications (physical and virtual), infrastructure, systems components and/or shared with other third-parties? | 9 | Identify | null | X | X | There is no evidence of a capability to inventory, document and maintain data flows for data that is resident (permanently or temporarily) within a service's geographically distributed applications (physical and virtual), infrastructure, systems components and/ or shared with other third-parties. | 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:
• 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.
• DPO maintains a centralized repository of sensitive Personal Data (sPD) data flows. | 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. | Data Classification & Handling (DCH) 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 | DSP-19 | null | null | null | null | null | null | null | null | null | null | null | null | 7.5
7.5.1
7.5.2
8.5.1
8.5.2 | null | null | null | null | null | null | null | null | null | null | null | SA-9(5) | null | null | null | SA-9(5)
SA-9(8) | null | null | null | null | SA-9(5)
SA-9(8) | null | null | null | null | null | null | null | null | null | null | null | null | 3.4.11.a
3.4.11.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SA-9(5) | null | null | null | null | null | null | null | SA-9(5) | null | SA-9(5) | SA-9(5) | null | SA-9(5) | null | SA-9(5) | SA-9(5) | null | null | null | null | null | null | null | null | null | null | 2.C.7
SA-9(5)
SA-9(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 | SA-9(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 11.6 | null | null | 25(h) | null | null | null | null | null | null | Article 15 | null | null | TPC-30 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 3
Article 44
Article 45(1)
Article 45(2)(a)
Article 45(2)(b)
Article 45(2)(c)
Article 46(1)
Article 46(2)(a)
Article 46(2)(b)
Article 46(2)(c)
Article 46(2)(d)
Article 46(2)(e)
Article 46(2)(f)
Article 46(3)(a)
Article 46(3)(b) | null | null | null | null | APP 8 | null | null | null | null | null | null | Article 38
Article 39
Article 40 | null | null | null | Article 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 | Art 23 | null | null | null | x | null | null | x | 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-IR-1
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 | null | R-IR-1 | null | 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 | Archived Data Sets | DCH-20 | Mechanisms exist to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. | null | null | Does the organization protect archived data in accordance with applicable statutory, regulatory and contractual obligations? | 8 | Protect | null | X | null | There is no evidence of a capability to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. | SP-CMM1 is N/A, since a structured process is required to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. | 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 protect archived data in accordance with applicable statutory, regulatory and contractual obligations. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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.4.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | 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-IR-1
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 | 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 |
Data Classification & Handling | Information Disposal | DCH-21 | Mechanisms exist to securely dispose of, destroy or erase information. | - Shred-it
- IronMountain | null | Does the organization securely dispose of, destroy or erase information? | 10 | Protect | X | X | X | There is no evidence of a capability to securely dispose of, destroy or erase information. | SP-CMM1 is N/A, since a structured process is required to securely dispose of, destroy or erase information. | 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.
• Physical controls, administrative processes and technologies:
o Physically secure all media that contains sensitive/regulated data.
o Restrict access to digital and non-digital media to authorized individuals.
o Restrict the types, usage and distribution of digital media.
o Securely dispose of, destroy or erase information. | 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 securely dispose of, destroy or erase information. | CC6.5
C1.2
P4.3 | CC6.5-POF2
C1.2-POF2
P4.3-POF2
P4.3-POF3 | null | 3.5 | 3.5 | 3.5 | 3.5 | null | null | null | POL-04 | null | null | null | null | null | null | null | null | 8.10 | null | null | 7.4.8
8.4.2 | null | null | null | null | OP-3.3 | null | null | CT.DM-P5 | null | null | null | DM-2 | null | null | null | SI-12(3) | SI-12(3) | null | null | null | null | null | null | null | null | 3.4.14 | null | null | null | null | null | null | null | 3.8.3 | null | null | null | null | null | PR.DS-09 | null | null | null | null | null | null | null | null | null | null | null | null | D.4.3 | null | null | null | null | null | ASSET-2.H.MIL3 | KIM:SG4.SP3 | null | null | null | null | null | MP.L1-b.1.vii | null | null | DM-2 | null | null | null | 52.204-21(b)(1)(vii) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 314.4(c)(6)(i) | null | null | null | 9.L.C | 2.F.1
2.F.3 | null | null | null | null | null | null | null | null | 5.8 | null | null | null | null | 45.48.500
45.48.510 | null | null | null | null | null | null | Sec 40(a)
Sec 40(b)
Sec 40(b)(1)
Sec 40(b)(2)
Sec 40(c)
Sec 40(d)
Sec 40(e)
Sec 40(f) | null | null | null | null | null | null | Sec. 521.052(b) | null | null | null | null | null | null | null | null | null | null | null | null | Art 24 | null | null | null | null | null | null | null | null | null | PI-03 | null | null | null | 11.12
15.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.11 | 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 | 11.1.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21 | 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-IR-1
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 | null | R-IR-1 | null | 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 | Data Quality Operations | DCH-22 | Mechanisms exist to check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle. | - Data Protection Impact Assessment (DPIA) | null | Does the organization check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle? | 5 | Protect | X | X | null | There is no evidence of a capability to check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle. | SP-CMM1 is N/A, since a structured process is required to check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle. | SP-CMM2 is N/A, since a well-defined process is required to check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle. | 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. | Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. | CC2.1 | null | null | null | null | null | null | APO11.01
APO11.02
APO11.03
APO11.04
APO11.05 | Principle 13 | null | null | null | 9.2.1 | null | RQ-05-11 | null | null | null | null | null | null | A.6 | null | null | null | null | null | null | null | null | null | null | null | null | DI-1 | null | null | null | PM-22
SI-18
SI-18(1) | PM-22
SI-18 | null | null | null | SI-18(1) | null | null | null | null | null | PM-22 | null | null | PM-22 | PM-22 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.5.3 | null | null | null | null | null | null | KIM:SG5.SP2
KIM:SG5.SP3 | null | null | null | null | null | null | null | null | DI-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 | Chapter29-Schedule1-Part1-Principle 1 | null | null | null | null | null | null | null | null | null | null | null | null | Article 8 | null | null | null | null | null | null | null | null | null | null | null | null | 5.8.1
5.8.2 | 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-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-SA-1 | null | null | null | null | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | 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 | 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 |
Data Classification & Handling | Updating & Correcting Personal Data (PD) | DCH-22.1 | Mechanisms exist to utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified. | - Data Protection Impact Assessment (DPIA) | null | Does the organization utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified? | 6 | Protect | null | X | null | There is no evidence of a capability to utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified. | SP-CMM1 is N/A, since a structured process is required to utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified. | 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 utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified. | P5.1
P5.2 | null | null | null | null | null | null | null | null | null | null | null | 6.2.5
6.2.6
10.2.1
10.2.2 | null | null | null | null | null | null | null | null | null | 7.3.6 | 5.9 | null | null | null | null | null | null | CT.DM-P3 | null | null | null | IP-3 | null | null | null | SI-18(4)
SI-18(5) | SI-18(4) | null | null | null | SI-18(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 | P.5.2 | null | null | null | null | null | null | COMM:SG1.SP3
KIM:SG5.SP1 | null | null | null | null | null | null | null | null | IP-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 164.526
164.526(a)
164.526(b)
164.526(c)
164.526(d)
164.526(e)
164.526(f) | null | null | null | null | null | null | null | null | null | Principle 7 | null | null | null | null | null | null | null | null | null | null | null | 6-1-1306(1)(c) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 59.1-577.A.2 | null | null | null | null | Art 12.3
Art 14.2
Art 16
Art 18.1
Art 26.3 | null | null | null | Sec 27 | Art 10
Art 12 | Art 21 | Art 24
Art 37 | Sec 29 | Art 38
Art 39 | Sec 20 | null | null | Art 13 | Sec 14
Sec 15
Sec 17 | Sec 2 | null | Sec 14 | Sec 7 | null | null | Sec 36 | null | Sec 27 | Art 32 | Art 12 | null | Art 17 | null | null | null | null | null | null | null | Sec 24 | Art 23
Art 24
Art 31
Art 32 | null | Sec 28 | Art 5 | null | Sec 17 | null | null | null | null | Article 5(1)(d)
Article 16
Article 19 | null | null | null | APP Part 13 | APP 13 | null | null | null | null | null | Sec 8 | Article 46
Article 49 | Sec 22 | null | null | Article 26(1)
Article 26(1)(i)
Article 26(1)(ii)
Article 29(1)
Article 29(2)
Article 29(3) | null | Sec 34 | null | null | P6-(2)
Principle 7
P7-(1)
P7-(2)
P7-(3)(a)
P7-(3)(b)
P7-(4)
P7-(5)
P7-(6) | Sec 34 | Sec 22 | null | null | Art 4
Art 36 | Art 3 | Art 16 | Art 16.1
Art 16.3 | Sec 10 | null | Art 18.3 | null | null | Principle 10 | Art 13 | Art 8
Art 11 | Art 7 | Art 24
Art 28
Art 29 | Art 20 | Art 15
Art 16 | null | null | null | x | null | null | null | R-AC-4
R-AM-2
R-AM-3
R-BC-2
R-BC-3
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7 | null | null | null | R-AC-4 | null | R-AM-2 | R-AM-3 | null | R-BC-2 | R-BC-3 | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | 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
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 | Data Tags | DCH-22.2 | Mechanisms exist to utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle. | - Data Protection Impact Assessment (DPIA) | null | Does the organization utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle? | 3 | Protect | null | null | X | There is no evidence of a capability to utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle. | SP-CMM1 is N/A, since a structured process is required to utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle. | SP-CMM2 is N/A, since a well-defined process is required to utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle. | 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. | Data Classification & Handling (DCH) 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 | null | null | null | null | PT-2(1)
PT-3(1)
SI-18(2) | null | null | null | null | PT-2(1)
PT-3(1)
SI-18(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 | P.2.3.7
| null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-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 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | 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 | 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 |
Data Classification & Handling | Primary Source Personal Data (PD) Collection | DCH-22.3 | Mechanisms exist to collect Personal Data (PD) directly from the individual. | - Data Protection Impact Assessment (DPIA) | null | Does the organization collect Personal Data (PD) directly from the individual? | 8 | Identify | null | X | null | There is no evidence of a capability to collect Personal Data (PD) directly from the individual. | SP-CMM1 is N/A, since a structured process is required to collect Personal Data (PD) directly from the individual. | 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 collect Personal Data (PD) directly from the individual. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.4.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-18(3)
SI-19(1) | null | null | null | null | SI-18(3)
SI-19(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 | P.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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 17(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 | R-AM-3
R-BC-3
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-GV-6
R-GV-7 | null | null | null | null | null | null | R-AM-3 | null | null | R-BC-3 | null | null | null | null | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | 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 |
Data Classification & Handling | De-Identification (Anonymization) | DCH-23 | Mechanisms exist to anonymize data by removing Personal Data (PD) from datasets. | - Data Protection Impact Assessment (DPIA) | null | Does the organization anonymize data by removing Personal Data (PD) from datasets? | 8 | Protect | null | X | X | There is no evidence of a capability to anonymize data by removing Personal Data (PD) from datasets. | SP-CMM1 is N/A, since a structured process is required to anonymize data by removing Personal Data (PD) from datasets. | 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 anonymize data by removing Personal Data (PD) from datasets. | null | null | null | null | null | null | null | null | null | null | GVN-05 | null | null | null | null | null | null | null | null | 8.33 | null | null | 7.4.5 | null | null | null | null | null | null | null | null | null | null | null | DM-1(1)
DM-3(1) | null | null | null | SI-19 | SI-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 | P.7.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | DM-1(1)
DM-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 | 6-1-1307(1)(a)
6-1-1307(1)(b)
6-1-1307(1)(b)(I)(A)
6-1-1307(1)(b)(I)(B)
6-1-1307(1)(b)(II)
6-1-1307(1)(b)(III) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 59.1-581.A
59.1-581.A.1
59.1-581.A.2
59.1-581.A.3
59.1-581.B
59.1-581.B(i)
59.1-581.B(ii)
59.1-581.C
59.1-581.C.1
59.1-581.C.2
59.1-581.C.3
59.1-581.D
59.1-581.E | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 39(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 50.1 | 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 | Article 35-2(1)
Article 35-2(2)
Article 35-2(3)
Article 35-2(4)
Article 35-2(5)
Article 35-2(6)
Article 35-2(7)
Article 35-2(8)
Article 35-2(9)
Article 36(1)
Article 36(2)
Article 36(3)
Article 36(4)
Article 37
Article 38
Article 39 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 12 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-BC-2
R-BC-3
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-GV-6
R-GV-7 | null | null | null | null | null | null | R-AM-3 | null | R-BC-2 | R-BC-3 | null | null | null | null | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | 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 |
Data Classification & Handling | De-Identify Dataset Upon Collection | DCH-23.1 | Mechanisms exist to de-identify the dataset upon collection by not collecting Personal Data (PD). | - Data Protection Impact Assessment (DPIA) | null | Does the organization de-identify the dataset upon collection by not collecting Personal Data (PD)? | 8 | Protect | null | X | null | There is no evidence of a capability to de-identify the dataset up on collection by not collecting Personal Data (PD). | SP-CMM1 is N/A, since a structured process is required to de-identify the dataset up on collection by not collecting Personal Data (PD). | 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 de-identify the dataset up on collection by not collecting 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 | 7.4.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-19(1) | null | null | null | null | SI-19(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 | P.5.5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-BC-2
R-BC-3
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-GV-6
R-GV-7 | null | null | null | null | null | null | R-AM-3 | null | R-BC-2 | R-BC-3 | null | null | null | null | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | 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 |
Data Classification & Handling | Archiving | DCH-23.2 | Mechanisms exist to refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived. | - Data Protection Impact Assessment (DPIA) | null | Does the organization refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived? | 8 | Protect | null | X | null | There is no evidence of a capability to refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived. | SP-CMM1 is N/A, since a structured process is required to refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived. | 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 refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.4.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-19(2) | null | null | null | null | SI-19(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 | P.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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-2
R-BC-3
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-GV-6
R-GV-7 | null | null | null | null | null | null | R-AM-3 | null | R-BC-2 | R-BC-3 | null | null | null | null | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | 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 |
Data Classification & Handling | Release | DCH-23.3 | Mechanisms exist to remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. | - Data Protection Impact Assessment (DPIA) | null | Does the organization remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release? | 8 | Protect | null | X | null | There is no evidence of a capability to remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. | SP-CMM1 is N/A, since a structured process is required to remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. | 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 remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.3.7
7.3.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-19(3) | null | null | null | null | SI-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 | P.5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-BC-2
R-BC-3
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-GV-6
R-GV-7 | null | null | null | null | null | null | R-AM-3 | null | R-BC-2 | R-BC-3 | null | null | 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 | 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 |
Data Classification & Handling | Removal, Masking, Encryption, Hashing or Replacement of Direct Identifiers | DCH-23.4 | Mechanisms exist to remove, mask, encrypt, hash or replace direct identifiers in a dataset. | - Data Protection Impact Assessment (DPIA) | null | Does the organization remove, mask, encrypt, hash or replace direct identifiers in a dataset? | 8 | Protect | null | X | X | There is no evidence of a capability to remove, mask, encrypt, hash or replace direct identifiers in a dataset. | SP-CMM1 is N/A, since a structured process is required to remove, mask, encrypt, hash or replace direct identifiers in a dataset. | SP-CMM2 is N/A, since a well-defined process is required to remove, mask, encrypt, hash or replace direct identifiers in a dataset. | 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 remove, mask, encrypt, hash or replace direct identifiers in a dataset. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.11 | null | null | 7.4.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-19(4) | null | null | null | null | SI-19(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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-3
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5
R-GV-6
R-GV-7 | null | null | null | R-AC-4 | null | null | R-AM-3 | null | R-BC-2 | R-BC-3 | null | null | null | null | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | 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 |
Data Classification & Handling | Statistical Disclosure Control | DCH-23.5 | Mechanisms exist to manipulate numerical data, contingency tables and statistical findings so that no person or organization is identifiable in the results of the analysis. | null | null | Does the organization manipulate numerical data, contingency tables and statistical findings so that no person or organization is identifiable in the results of the analysis? | 1 | Protect | null | X | null | There is no evidence of a capability to manipulate numerical data, contingency tables and statistical findings so that no pers on or organization is identifiable in the results of the analysis. | SP-CMM1 is N/A, since a structured process is required to manipulate numerical data, contingency tables and statistical findings so that no pers on or organization is identifiable in the results of the analysis. | SP-CMM2 is N/A, since a well-defined process is required to manipulate numerical data, contingency tables and statistical findings so that no person or organization is identifiable in the results of the analysis. | 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 manipulate numerical data, contingency tables and statistical findings so that no pers on or organization is identifiable in the results of the analysis. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-19(5) | null | null | null | null | SI-19(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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | 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 | 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 | Differential Data Privacy | DCH-23.6 | Mechanisms exist to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported. | - Data Protection Impact Assessment (DPIA) | null | Does the organization prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported? | 1 | Protect | null | X | null | There is no evidence of a capability to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported. | SP-CMM1 is N/A, since a structured process is required to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported. | SP-CMM2 is N/A, since a well-defined process is required to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported. | 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 prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-19(6) | null | null | null | null | SI-19(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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | 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 | 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 De-Identification of Sensitive Data | DCH-23.7 | Mechanisms exist to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms. | - Data Protection Impact Assessment (DPIA) | null | Does the organization perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms? | 1 | Protect | null | null | X | There is no evidence of a capability to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms. | SP-CMM1 is N/A, since a structured process is required to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms. | SP-CMM2 is N/A, since a well-defined process is required to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms. | 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 perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-19(7) | null | null | null | null | SI-19(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 | P.7.6 | 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-AM-3
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | 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 | 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 | 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 |
Data Classification & Handling | Motivated Intruder | DCH-23.8 | Mechanisms exist to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | null | null | Does the organization perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified? | 3 | Protect | null | X | null | There is no evidence of a capability to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | SP-CMM1 is N/A, since a structured process is required to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | SP-CMM2 is N/A, since a well-defined process is required to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | 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 perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-19(8) | null | null | null | null | SI-19(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 | P.7.7.1 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | 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 | 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 | Code Names | DCH-23.9 | Mechanisms exist to use aliases to name assets, which are mission-critical and/or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data. | null | null | Does the organization use aliases to name assets, which are mission-critical and/or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data? | 1 | Protect | null | X | null | There is no evidence of a capability to use aliases to name assets, which are mission-critical and/ or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data. | SP-CMM1 is N/A, since a structured process is required to use aliases to name assets, which are mission-critical and/ or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of 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:
• 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 use aliases to name assets, which are mission-critical and/ or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to use aliases to name assets, which are mission-critical and/ or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of 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 | OP-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 | D.1.1.2 | null | 8.2.4
8.4.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | 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 | 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 | Information Location | DCH-24 | Mechanisms exist to identify and document the location of information and the specific system components on which the information resides. | - Data Flow Diagram (DFD) | E-AST-23 | Does the organization identify and document the location of information and the specific system components on which the information resides? | 10 | Identify | null | X | X | There is no evidence of a capability to identify and document the location of information and the specific system components on which the information resides. | SP-CMM1 is N/A, since a structured process is required to identify and document the location of information and the specific system components on which the information resides. | 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. | Data Classification & Handling (DCH) 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 | T1005, T1025 | null | null | null | null | null | null | null | null | null | null | null | CM-12 | null | null | CM-12 | CM-12 | null | null | null | CM-12 | CM-12 | null | CM-12 | null | null | null | CM-12 | CM-12 | null | null | null | A.03.04.11.a[01]
A.03.04.11.a[02]
A.03.04.11.a[03]
A.03.04.11.b[01]
A.03.04.11.b[02]
A.03.04.11.c[01]
A.03.04.11.c[02] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.1.1.3 | 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 | CM-12 | null | CM-12 | CM-12 | null | null | null | null | null | null | null | null | null | null | 2.C.7
CM-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 | Art 6.1
Art 26.1
Art 26.2
Art 27.3
Art 28.1
Art 28.2
Art 28.3
Art 28.4
Art 28.5
Art 28.6
Art 28.9
Art 28.10
Art 29
Art 44
Art 45.1
Art 45.2
Art 46.1
Art 46.2
Art 46.3
Art 47.1
Art 47.2
Art 48
Art 49.1
Art 49.2
Art 49.6 | null | null | null | Sec 10 | Chapter 4 - Art 16 | Art 14
Art 16
Art 27 | Art 41 | null | Art 34 | null | null | null | null | Sec 7 | Sec 2 | null | Sec 16
Sec 17 | Sec 31 | null | Art 3
Art 4 | Sec 12
Sec 13
Sec 14 | null | Sec 13
Sec 14 | Art 1
Art 36 | Art 14
Art 15 | null | Art 7 | null | null | null | 4-2-3-1 | null | null | null | Sec 19
Sec 21 | null | null | Sec 31 | null | null | null | null | null | null | null | Article 44
Article 45(1)
Article 45(2)(a)
Article 45(2)(b)
Article 45(2)(c)
Article 46(1)
Article 46(2)(a)
Article 46(2)(b)
Article 46(2)(c)
Article 46(2)(d)
Article 46(2)(e)
Article 46(2)(f)
Article 46(3)(a)
Article 46(3)(b) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 1 | Article 20 | null | Sec 9 | null | null | null | Sec 25 | Sec 24
Sec 26 | null | null | Art 17
Art 27 | null | Art 9
Art 26 | null | null | null | null | null | null | Sec 20 | Art 7 | Art 26 | null | null | null | Art 23 | null | null | null | x | null | null | null | R-AC-1
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-4
R-SA-1 | R-AC-1 | null | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | 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 | null | null | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
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 Tools to Support Information Location | DCH-24.1 | Automated mechanisms exist to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. | null | null | Does the organization use automated mechanisms to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy? | 6 | Identify | null | X | X | There is no evidence of a capability to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. | SP-CMM1 is N/A, since a structured process is required to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. | SP-CMM2 is N/A, since a well-defined process is required to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. | 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. | Data Classification & Handling (DCH) 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 | null | null | null | null | CM-12(1) | null | null | CM-12(1) | CM-12(1) | null | null | null | CM-12(1) | CM-12(1) | null | CM-12(1) | null | null | null | CM-12(1) | CM-12(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.1.1.11 | 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 | CM-12(1) | null | CM-12(1) | CM-12(1) | null | null | null | null | null | null | null | null | null | null | CM-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 | Sec 10 | Chapter 4 - Art 16 | Art 14
Art 16
Art 27 | Art 41 | null | Art 34 | null | null | null | null | Sec 7 | Sec 2 | null | Sec 16
Sec 17 | Sec 31 | null | Art 3
Art 4 | Sec 12
Sec 13
Sec 14 | null | Sec 13
Sec 14 | Art 1
Art 36 | Art 14
Art 15 | null | Art 7 | null | null | null | null | null | null | null | Sec 19
Sec 21 | null | null | Sec 31 | null | null | null | null | null | null | null | Article 44
Article 45(1)
Article 45(2)(a)
Article 45(2)(b)
Article 45(2)(c)
Article 46(1)
Article 46(2)(a)
Article 46(2)(b)
Article 46(2)(c)
Article 46(2)(d)
Article 46(2)(e)
Article 46(2)(f)
Article 46(3)(a)
Article 46(3)(b) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 9 | null | null | null | Sec 25 | Sec 24
Sec 26 | null | null | Art 17
Art 27 | null | Art 9
Art 26 | null | null | null | null | null | null | Sec 20 | Art 7 | Art 26 | null | null | null | null | null | null | null | x | 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-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
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 | null | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | null | null | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Data Classification & Handling | Transfer of Sensitive and/or Regulated Data | DCH-25 | Mechanisms exist to restrict and govern the transfer of sensitive and/or regulated data to third-countries or international organizations. | - Model contracts
- Privacy Shield
- Binding Corporate Rules (BCR) | null | Does the organization restrict and govern the transfer of sensitive and/or regulated data to third-countries or international organizations? | 10 | Protect | null | X | null | There is no evidence of a capability to restrict and govern the transfer of sensitive and/ or regulated data to third-countries or international organizations. | 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:
• 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. | Data Classification & Handling (DCH) 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.1.6.2.3 | 2.4A
2.5A
2.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 44
Art 45.1
Art 45.2
Art 46.1
Art 46.2
Art 46.3
Art 47.1
Art 47.2
Art 48
Art 49.1
Art 49.2
Art 49.6 | null | null | null | Sec 10 | null | Art 14
Art 27 | null | null | null | null | null | null | null | null | null | 10.5 | null | null | 25(h)
48(a)
48(b)
48(c)(i)
48(c)(ii)
48(c)(iii)
48(c)(iv)
48(c)(v)
48(c)(vi)
49(1)
49(2)
49(3)
50 | null | null | 2.11
2.11(a)
2.11(b)
2.11(c)
2.11(d)
2.11(e)
2.12
2.12(a)
2.12(b)
2.12(c)
2.12(d)
2.12(e)
2.12(f) | null | null | null | Article 15 | null | 2-6-1-5 | TPC-30 | null | null | null | Article 23
Article 63
Article 63.1
Article 63.2
Article 63.3
Article 63.4
Article 65
Article 68
Article 69
Article 69.x
Article 70
Article 70.1
Article 70.2
Article 70.3
Article 70.4
Article 70.5
Article 71
Article 71.1
Article 71.2
Article 71.3
Article 71.4
Article 71.5 | null | Sec 72 | null | null | null | null | null | null | null | null | null | null | Article 44
Article 45(1)
Article 45(2)(a)
Article 45(2)(b)
Article 45(2)(c)
Article 46(1)
Article 46(2)(a)
Article 46(2)(b)
Article 46(2)(c)
Article 46(2)(d)
Article 46(2)(e)
Article 46(2)(f)
Article 46(3)(a)
Article 46(3)(b)
Article 48
Article 49(1)(a)
Article 49(1)(b)
Article 49(1)(c)
Article 49(1)(d)
Article 49(1)(e)
Article 49(1)(f)
Article 49(1)(g)
Article 49(2)
Article 49(3)
Article 49(4)
Article 49(5)
Article 49(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 24(1) | null | Sec 9 | null | null | Principle 12
P12-(1)
P12-(1)(a)
P12-(1)(b)
P12-(1)(c)
P12-(1)(d)
P12-(1)(e)
P12-(1)(f)
P12-(2)
P12-(3) | null | Sec 24
Sec 26 | null | null | Art 17
Art 26
Art 27 | null | null | null | null | null | null | null | null | Sec 20 | null | Art 26 | null | null | null | null | null | null | null | x | null | null | null | R-AC-1
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-4
R-SA-1 | R-AC-1 | null | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | 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 | null | null | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
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 | Transfer Activity Limits | DCH-25.1 | Mechanisms exist to establish organization-defined "normal business activities" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/or receiving (inbound) fraudulent actions. | null | null | Does the organization establish organization-defined "normal business activities" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/or receiving (inbound) fraudulent actions? | 7 | Protect | null | X | null | There is no evidence of a capability to establish organization-defined "normal business activities" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/ or receiving (inbound) fraudulent actions. | SP-CMM1 is N/A, since a structured process is required to establish organization-defined "normal business activities" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/ or receiving (inbound) fraudulent actions. | 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 establish organization-defined "normal business activities" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/ or receiving (inbound) fraudulent actions. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish organization-defined "normal business activities" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/ or receiving (inbound) fraudulent actions. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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.7 | 2.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-EX-1
R-GV-1
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | R-EX-1 | null | null | null | null | null | null | R-GV-1 | null | null | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | 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 |
Data Classification & Handling | Data Localization | DCH-26 | Mechanisms exist to constrain the impact of "digital sovereignty laws," that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/or contractual obligations. | - Board of Directors (Bod) Ethics Committee | null | Does the organization constrain the impact of "digital sovereignty laws," that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/or contractual obligations? | 10 | Protect | X | X | X | There is no evidence of a capability to constrain the impact of "digital sovereignty laws," that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations. | SP-CMM1 is N/A, since a structured process is required to constrain the impact of "digital sovereignty laws," that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations. | SP-CMM2 is N/A, since a well-defined process is required to constrain the impact of "digital sovereignty laws," that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations. | 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 constrain the impact of "digital sovereignty laws," that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to constrain the impact of "digital sovereignty laws," that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | 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.11.5 | 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 | 50 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 36 | null | Article 36
Article 38
Article 40 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-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 | MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Embedded Technology Security Program | EMB-01 | Mechanisms exist to facilitate the implementation of embedded technology controls. | null | E-AST-07 | Does the organization facilitate the implementation of embedded technology controls? | 10 | Protect | X | X | X | There is no evidence of a capability to facilitate the implementation of embedded technology controls. | Embedded Technology (EMB) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Embedded technologies (e.g., Operational Technology (OT) and Internet of Things (IoT) are managed in the same manner as any other technology asset.
• Embedded technologies management is decentralized. | Embedded Technology (EMB) 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:
• Embedded technology 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 embedded technology management.
• Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• Special baselines for embedded technologies configurations are created for higher-risk environments.
• IT/cybersecurity personnel perform an annual review of existing for embedded technologies configurations to ensure security objectives are still being met.
• Data management for embedded technologies is decentralized where 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 protection controls are primarily administrative in nature (e.g., policies & standards) to manage embedded technologies.
• Historical versions of configurations are maintained for troubleshooting and forensics purposes.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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 embedded technologies governance practices.
• The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise, including governance of embedded technologies.
• A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to embedded technologies.
• A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including embedded technologies governance.
• An IT Asset Management (ITAM) function, or similar function:
o Categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
o Ensures known vulnerabilities to embedded technologies are remediated or appropriate compensating controls are implemented to counter the threat.
o Ensures that media sanitization and disposal actions are documented and verified.
o Subscribes to threat feeds and performs vulnerability scanning to maintain situational awareness on existing threats within the operating environment.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Administrative processes and technologies limit Personal Data (PD) being processed by embedded technologies to elements identified in the DPIA. | Embedded Technology (EMB) 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 embedded technology controls. | null | null | null | null | null | null | null | null | null | null | GVN-01
GVN-02
POL-03
VLN-04 | null | null | EDR 2.4 (13.2.1)
EDR 2.4 (13.2.1(a))
EDR 2.4 (13.2.1(b))
EDR 2.4 (13.2.1(c)) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A01:2021
A02:2021
A03:2021
A04:2021
A05:2021
A06:2021
A07:2021
A08:2021
A09:2021
A10:2021 | null | null | null | null | null | null | null | null | null | null | null | M.1.1 | null | null | null | 7.3.7(a)
7.3.7(b)
7.3.7(c) | 7.3.7(a)
7.3.7(b)
7.3.7(c) | ARCHITECTURE-3.A.MIL1
ARCHITECTURE-3.B.MIL1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 9.S.A | 6.M.B
9.M.A | 6.M.B
9.M.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 | Art 32.1
Art 32.2 | null | null | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | null | null | null | null | null | 12.1
12.2
12.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5-1-1
5-1-2
5-1-3
5-1-4 | 1-1-2
1-6
2-1-2
2-3-2 | null | null | Sec 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 | 11.5.1
11.5.2
11.5.3
11.5.4
11.5.5 | 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-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 |
Embedded Technology | Internet of Things (IOT) | EMB-02 | Mechanisms exist to proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT). | null | null | Does the organization proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT)? | 9 | Protect | null | X | null | There is no evidence of a capability to proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT). | SP-CMM1 is N/A, since a structured process is required to proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT). | Embedded Technology (EMB) 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:
• Embedded technology 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 embedded technology management.
• Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• Special baselines for embedded technologies configurations are created for higher-risk environments.
• IT/cybersecurity personnel perform an annual review of existing for embedded technologies configurations to ensure security objectives are still being met.
• Data management for embedded technologies is decentralized where 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 protection controls are primarily administrative in nature (e.g., policies & standards) to manage embedded technologies.
• Historical versions of configurations are maintained for troubleshooting and forensics purposes.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. | Embedded Technology (EMB) 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 proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT). | null | null | null | null | null | null | null | null | null | null | GVN-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | U.2.5 | null | null | null | null | null | ARCHITECTURE-3.A.MIL1
ARCHITECTURE-3.B.MIL1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 9.S.A | 6.M.B
9.M.A | 6.M.B
9.M.A | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 19 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 11
Principle 13 | null | null | null | null | Article 26 | null | null | null | null | null | null | null | null | null | null | null | null | 11.5.1
11.5.2
11.5.3
11.5.4
11.5.5 | 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-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 |
Embedded Technology | Operational Technology (OT) | EMB-03 | Mechanisms exist to proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT). | null | null | Does the organization proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT)? | 9 | Protect | null | X | null | There is no evidence of a capability to proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT). | SP-CMM1 is N/A, since a structured process is required to proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT). | Embedded Technology (EMB) 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:
• Embedded technology 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 embedded technology management.
• Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• Special baselines for embedded technologies configurations are created for higher-risk environments.
• IT/cybersecurity personnel perform an annual review of existing for embedded technologies configurations to ensure security objectives are still being met.
• Data management for embedded technologies is decentralized where 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 protection controls are primarily administrative in nature (e.g., policies & standards) to manage embedded technologies.
• Historical versions of configurations are maintained for troubleshooting and forensics purposes.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. | Embedded Technology (EMB) 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 proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT). | null | null | null | null | null | null | null | null | null | null | GVN-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.30.2 | null | null | null | null | null | ARCHITECTURE-3.A.MIL1
ARCHITECTURE-3.B.MIL1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 9.S.A | 6.M.B
9.M.A | 6.M.B
9.M.A | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 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 | 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-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 |
Embedded Technology | Interface Security | EMB-04 | Mechanisms exist to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s). | null | null | Does the organization protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s)? | 4 | Protect | null | null | X | There is no evidence of a capability to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s). | SP-CMM1 is N/A, since a structured process is required to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s). | Embedded Technology (EMB) 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:
• Embedded technology 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 embedded technology management.
• Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• Special baselines for embedded technologies configurations are created for higher-risk environments. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s). | null | null | null | null | null | null | null | null | null | null | IOT-05 | null | null | EDR 2.13 (13.3.1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 6
Principle 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 | 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-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 |
Embedded Technology | Embedded Technology Configuration Monitoring | EMB-05 | Mechanisms exist to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected. | null | null | Does the organization generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected? | 6 | Detect | null | X | X | There is no evidence of a capability to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected. | SP-CMM1 is N/A, since a structured process is required to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected. | Embedded Technology (EMB) 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:
• Embedded technology 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 embedded technology management.
• Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• Special baselines for embedded technologies configurations are created for higher-risk environments. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Previous versions of configurations are maintained for troubleshooting and forensics reasons. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected. | null | null | null | null | null | null | null | null | null | null | SNT-03 | null | null | EDR 2.13 (13.3.3(1))
EDR 3.11 (13.6.3(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 | A05:2021 | null | null | null | null | null | null | null | null | null | null | null | I.3.15 | null | null | null | 7.3.7(a)
7.3.7(b) | 7.3.7(a)
7.3.7(b) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-5-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 8
Principle 10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 11.5.5 | 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-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 |
Embedded Technology | Prevent Alterations | EMB-06 | Mechanisms exist to protect embedded devices by preventing the unauthorized installation and execution of software. | null | null | Does the organization protect embedded devices by preventing the unauthorized installation and execution of software? | 6 | Protect | null | null | X | There is no evidence of a capability to protect embedded devices by preventing the unauthorized installation and execution of software. | SP-CMM1 is N/A, since a structured process is required to protect embedded devices by preventing the unauthorized installation and execution of software. | Embedded Technology (EMB) 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:
• Embedded technology 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 embedded technology management.
• Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• Special baselines for embedded technologies configurations are created for higher-risk environments. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect embedded devices by preventing the unauthorized installation and execution of software. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect embedded devices by preventing the unauthorized installation and execution of software. | null | null | null | null | null | null | null | null | null | null | IOT-05 | null | null | EDR 3.2 (13.4.1)
EDR 3.11 (13.6.3(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 | A05:2021 | null | null | null | null | null | null | null | null | null | null | null | M.1.45 | null | null | null | null | null | ARCHITECTURE-3.E.MIL2
ARCHITECTURE-3.F.MIL2
ARCHITECTURE-3.H.MIL2
ARCHITECTURE-3.I.MIL2
ARCHITECTURE-3.L.MIL3
ARCHITECTURE-3.M.MIL3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-5-2
1-5-3
1-5-4
2-3-1-5
2-3-1-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 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 | 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-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 |
Embedded Technology | Embedded Technology Maintenance | EMB-07 | Mechanisms exist to securely update software and upgrade functionality on embedded devices. | null | null | Does the organization securely update software and upgrade functionality on embedded devices? | 6 | Protect | null | X | X | There is no evidence of a capability to securely update software and upgrade functionality on embedded devices. | SP-CMM1 is N/A, since a structured process is required to securely update software and upgrade functionality on embedded devices. | Embedded Technology (EMB) 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:
• Embedded technology 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 embedded technology management.
• Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• Special baselines for embedded technologies configurations are created for higher-risk environments. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely update software and upgrade functionality on embedded devices. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely update software and upgrade functionality on embedded devices. | null | null | null | null | null | null | null | null | null | null | null | null | null | EDR 3.10 (13.5.1) | 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 | N.3
| null | null | null | null | null | ARCHITECTURE-3.E.MIL2
ARCHITECTURE-3.F.MIL2
ARCHITECTURE-3.H.MIL2
ARCHITECTURE-3.I.MIL2
ARCHITECTURE-3.L.MIL3
ARCHITECTURE-3.M.MIL3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-5-4
2-2-1-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 3
Principle 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 | 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-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 |
Embedded Technology | Resilience To Outages | EMB-08 | Mechanisms exist to configure embedded technology to be resilient to data network and power outages. | null | null | Does the organization configure embedded technology to be resilient to data network and power outages? | 2 | Protect | null | X | X | There is no evidence of a capability to configure embedded technology to be resilient to data network and power outages. | SP-CMM1 is N/A, since a structured process is required to configure embedded technology to be resilient to data network and power outages. | Embedded Technology (EMB) 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:
• Embedded technology 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 embedded technology management.
• Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• Special baselines for embedded technologies configurations are created for higher-risk environments. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure embedded technology to be resilient to data network and power outages. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure embedded technology to be resilient to data network and power outages. | null | null | null | null | null | null | null | null | null | null | SAP-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 | M.1.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 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 | 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-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 |
Embedded Technology | Power Level Monitoring | EMB-09 | Automated mechanisms exist to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering. | null | null | Does the organization use automated mechanisms to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering? | 4 | Detect | null | null | X | There is no evidence of a capability to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering. | SP-CMM1 is N/A, since a structured process is required to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering. | SP-CMM2 is N/A, since a well-defined process is required to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Power levels of embedded technologies are monitored for excessive power usage or battery drainage due to device tampering. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering. | null | null | null | null | null | null | null | null | null | null | ASM-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 | G.2.14 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-6
R-GV-1
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 | null | null | null | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | null | null | null | null | null | null | R-EX-6 | null | R-GV-1 | null | null | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-11
NT-12
NT-13
MT-1
MT-2
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 | null | null | null | NT-11 | NT-12 | NT-13 | null | MT-1 | MT-2 | null | null | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Embedded Technology | Embedded Technology Reviews | EMB-10 | Mechanisms exist to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented. | null | null | Does the organization perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented? | 8 | Identify | null | X | X | There is no evidence of a capability to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented. | SP-CMM1 is N/A, since a structured process is required to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented. | SP-CMM2 is N/A, since a well-defined process is required to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented. | null | null | null | null | null | null | null | null | null | null | CCM-01
IOT-08 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A06:2021 | null | null | null | null | null | null | null | null | null | null | null | N.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | III.C.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 | 1-6
1-6-1
1-6-2
2-1-2
2-3-2
2-7-2
2-9-2 | 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 | x | null | R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-6
R-GV-1
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 | null | null | null | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | null | null | null | null | null | null | R-EX-6 | null | R-GV-1 | null | null | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Message Queuing Telemetry Transport (MQTT) Security | EMB-11 | Mechanisms exist to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic. | null | null | Does the organization enforce the security of Message Queuing Telemetry Transport (MQTT) traffic? | 7 | Protect | null | null | X | There is no evidence of a capability to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic. | SP-CMM1 is N/A, since a structured process is required to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic. | SP-CMM2 is N/A, since a well-defined process is required to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Message Queuing Telemetry Transport (MQTT) traffic is securely enforced. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic. | null | null | null | null | null | null | null | null | null | null | COM-01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-6
R-EX-7
R-GV-1
R-GV-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | null | null | null | null | R-EX-6 | R-EX-7 | R-GV-1 | null | null | R-GV-4 | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Restrict Communications | EMB-12 | Mechanisms exist to require embedded technologies to initiate all communications and drop new, incoming communications. | null | null | Does the organization require embedded technologies to initiate all communications and drop new, incoming communications? | 8 | Protect | null | null | X | There is no evidence of a capability to require embedded technologies to initiate all communications and drop new, incoming communications. | SP-CMM1 is N/A, since a structured process is required to require embedded technologies to initiate all communications and drop new, incoming communications. | SP-CMM2 is N/A, since a well-defined process is required to require embedded technologies to initiate all communications and drop new, incoming communications. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Embedded technologies are restricted to communicate only with authorized peers and service endpoints. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require embedded technologies to initiate all communications and drop new, incoming communications. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require embedded technologies to initiate all communications and drop new, incoming communications. | null | null | null | null | null | null | null | null | null | null | COM-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 | N.9
| null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-6
R-EX-7
R-GV-1
R-GV-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | null | null | null | null | R-EX-6 | R-EX-7 | R-GV-1 | null | null | R-GV-4 | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Authorized Communications | EMB-13 | Mechanisms exist to restrict embedded technologies to communicate only with authorized peers and service endpoints. | null | null | Does the organization restrict embedded technologies to communicate only with authorized peers and service endpoints? | 8 | Protect | null | null | X | There is no evidence of a capability to restrict embedded technologies to communicate only with authorized peers and service endpoints. | SP-CMM1 is N/A, since a structured process is required to restrict embedded technologies to communicate only with authorized peers and service endpoints. | SP-CMM2 is N/A, since a well-defined process is required to restrict embedded technologies to communicate only with authorized peers and service endpoints. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Embedded technologies are configured to initiate all communications and drop any new incoming communications. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict embedded technologies to communicate only with authorized peers and service endpoints. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict embedded technologies to communicate only with authorized peers and service endpoints. | null | null | null | null | null | null | null | null | null | null | COM-11
SNT-04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A07:2021 | null | null | null | null | null | null | null | null | null | null | null | M.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-4
2-2-1-7
2-4-1
2-4-1-1
2-4-1-2
2-4-1-3
2-4-1-4
2-4-1-5
2-4-1-6
2-4-1-7
2-4-1-8
2-4-1-9
2-4-1-10
2-4-1-11
2-4-1-12
2-4-1-13
2-4-1-14
2-4-1-15
2-4-1-16 | 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 | null | null | null | null | null | 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-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-6
R-EX-7
R-GV-1
R-GV-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | null | null | null | null | R-EX-6 | R-EX-7 | R-GV-1 | null | null | R-GV-4 | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Operating Environment Certification | EMB-14 | Mechanisms exist to determine if embedded technologies are certified for secure use in the proposed operating environment. | null | null | Does the organization determine if embedded technologies are certified for secure use in the proposed operating environment? | 9 | Identify | null | X | X | There is no evidence of a capability to determine if embedded technologies are certified for secure use in the proposed operating environment. | SP-CMM1 is N/A, since a structured process is required to determine if embedded technologies are certified for secure use in the proposed operating environment. | SP-CMM2 is N/A, since a well-defined process is required to determine if embedded technologies are certified for secure use in the proposed operating environment. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Embedded technologies are certified for use in the proposed operating environment and the safety aspects of the technology formally evaluated using a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration or failure. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to determine if embedded technologies are certified for secure use in the proposed operating environment. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine if embedded technologies are certified for secure use in the proposed operating environment. | null | null | null | null | null | null | null | null | null | null | GVN-09
GVN-10
IOT-08
LGL-01
RSM-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 | I.1.18 | 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 | 1-5-3-3
2-4-1-15 | 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 | 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-6
R-EX-7
R-GV-1
R-GV-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | null | null | null | null | R-EX-6 | R-EX-7 | R-GV-1 | null | null | R-GV-4 | null | null | null | null | null | null | null | null | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-11
NT-12
NT-13
MT-1
MT-2
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 | null | null | null | NT-11 | NT-12 | NT-13 | null | MT-1 | MT-2 | null | null | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Safety Assessment | EMB-15 | Mechanisms exist to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/or failure. | null | null | Does the organization evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/or failure? | 9 | Identify | null | X | X | There is no evidence of a capability to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure. | SP-CMM1 is N/A, since a structured process is required to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure. | SP-CMM2 is N/A, since a well-defined process is required to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.37 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | null | null | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Certificate-Based Authentication | EMB-16 | Mechanisms exist to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services. | null | null | Does the organization enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.?) and their supporting services? | 5 | Protect | null | null | X | There is no evidence of a capability to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services. | SP-CMM1 is N/A, since a structured process is required to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services. | SP-CMM2 is N/A, since a well-defined process is required to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Certificate-based authentication is enforced for embedded technologies (e.g., IoT, OT, etc.) and their supporting services. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services. | null | null | null | null | null | null | null | null | null | null | IAM-03 | null | null | EDR 3.10 (13.5.3(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 | A08:2021 | null | null | null | null | null | null | null | null | null | null | null | U.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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-6
R-EX-7
R-GV-1
R-GV-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | null | null | null | null | R-EX-6 | R-EX-7 | R-GV-1 | null | null | R-GV-4 | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Chip-To-Cloud Security | EMB-17 | Mechanisms exist to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP). | null | null | Does the organization implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP)? | 6 | Protect | null | null | X | There is no evidence of a capability to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP). | SP-CMM1 is N/A, since a structured process is required to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP). | SP-CMM2 is N/A, since a well-defined process is required to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP). | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Embedded technologies use pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP). | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP). | null | null | null | null | null | null | null | null | null | null | IOT-04 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-6
R-EX-7
R-GV-1
R-GV-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | null | null | null | null | R-EX-6 | R-EX-7 | R-GV-1 | null | null | R-GV-4 | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Real-Time Operating System (RTOS) Security | EMB-18 | Mechanisms exist to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS). | null | null | Does the organization ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS)? | 5 | Protect | null | null | X | There is no evidence of a capability to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS). | SP-CMM1 is N/A, since a structured process is required to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS). | SP-CMM2 is N/A, since a well-defined process is required to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS). | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Embedded technologies use a securely configured Real-Time Operating System (RTOS). | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS). | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS). | null | null | null | null | null | null | null | null | null | null | IOT-06
IOT-07
IOT-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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | I.1.10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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-6
R-EX-7
R-GV-1
R-GV-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | null | null | null | null | R-EX-6 | R-EX-7 | R-GV-1 | null | null | R-GV-4 | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | null | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Embedded Technology | Safe Operations | EMB-19 | Mechanisms exist to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured. | null | null | Does the organization continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured? | 9 | Protect | null | X | X | There is no evidence of a capability to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured. | SP-CMM1 is N/A, since a structured process is required to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured. | SP-CMM2 is N/A, since a well-defined process is required to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured. | Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, 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, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes.
• An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies.
• Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies.
• Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured.
• Special baseline configurations for embedded technologies are created for higher-risk environments.
• Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.
• Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Autonomous systems are configured to continuously validate safe operation parameters that trigger an automatic state change when safe operation is no longer assured. | See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured. | null | null | null | null | null | null | null | null | null | null | SAP-02
SAP-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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | T.1.1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3-1-1-5 | 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 | 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-4 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | 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 | null | null | null | null | null | null | null | null | null | null | NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-11
NT-12
NT-13
MT-1
MT-2
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 | null | null | null | NT-11 | NT-12 | NT-13 | null | MT-1 | MT-2 | null | null | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | Endpoint Security | END-01 | Mechanisms exist to facilitate the implementation of endpoint security controls. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Group Policy Objects (GPOs)
- Antimalware technologies
- Software firewalls
- Host-based IDS/IPS technologies
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization facilitate the implementation of endpoint security controls? | 10 | Protect | X | X | X | There is no evidence of a capability to facilitate the implementation of endpoint security controls. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.
• 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 protection controls are primarily administrative in nature (e.g., policies & standards) to manage endpoint devices.
IT personnel implement and maintain an asset management capability, including endpoint devices. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, 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 endpoint security practices.
• The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise with regards to endpoint security.
• A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to endpoint security.
• A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including endpoint security.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• An ITAM function, or similar function, uses a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets that is configured to perform integrity checking and alert on unauthorized configuration changes.
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors.
• File Integrity monitor (FIM) technology is deployed to all HVAs to detect and report unauthorized changes to business-critical system files and configurations.
• Host-based Intrusion Detection/Prevention Systems (HIDS/HIPS) technology is deployed to all HVAs to detect and report unauthorized changes to business-critical system files and configurations. | Endpoint Security (END) 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 endpoint security controls. | null | CC6.7-POF4 | null | 10.1 | 10.1 | 10.1 | 10.1 | DSS05.01
DSS05.02
DSS05.03
DSS05.04
DSS05.05
DSS05.06
DSS05.07 | null | TVM-02
UEM-01
UEM-05
UEM-07 | null | null | null | null | null | null | null | null | 11.2.9 | 7.7
8.1
8.5 | 11.2.9 | null | 6.8.2.9 | null | null | null | null | null | null | null | null | null | null | null | MP-2 | MP-2 | null | 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 | null | null | 3.4.1[a]
3.4.1[b]
3.4.1[c]
3.4.2[a]
3.4.2[b] | A.03.01.01.ODP[01] | null | null | DE.CM-4 | PR.DS-10
PR.PS | null | null | 1.5
1.5.1 | null | 1.5.1 | null | null | null | 1.5.1 | 1.5.1 | 1.5.1 | null | M.1.1 | 6.1 | null | null | null | null | ARCHITECTURE-3.A.MIL1
ARCHITECTURE-3.B.MIL1 | AM:SG1.SP1
KIM:SG2.SP1
KIM:SG2.SP2 | null | 5.13.3
5.13.4 | null | null | null | null | null | null | 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 | null | null | null | null | null | 164.310(c) | 2.S.A
8.S.A | 1.M.A
2.M.A
9.M.A
9.M.B | 1.M.A
2.M.A
9.M.A
9.M.B
1.L.A | 2.D.8
3.3.7
MP-2 | null | null | 8-310 | 5.1
5.2
17.2 | 6.10 | 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 | MP-2 | MP-2 | MP-2 | null | null | § 2447(c)(6)
§ 2447(c)(7) | 3.4.4(36)(d) | null | null | Art 32.1
Art 32.2 | null | null | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | null | null | null | null | null | 7.1
7.3
15.5 | null | null | null | null | null | null | null | null | null | null | null | 2-3-1-2
2-5 | TPC-12
TPC-22 | null | 2-3-4
2-4-4 | 2-5
2-5-1
2-5-1-1
2-5-1-2
2-5-1-3
2-5-1-4
2-5-1-5
2-5-2 | null | null | Sec 19 | null | 8.3.1 [MP.EQ.1] | null | null | null | null | null | null | 4 | null | null | Principle 1.1 | Principle 1.1
Principle 1.2 | Principle 1.1
Principle 1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | 11.2.9 | null | null | null | null | null | null | 4.5 | 11.3.1
11.3.2
11.3.3
11.3.4
11.3.5
11.4.1
11.4.2
11.4.3 | null | null | null | null | null | 5.12 | null | 4.3
4.4 | 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-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 | null | 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 |
Endpoint Security | Endpoint Protection Measures | END-02 | Mechanisms exist to protect the confidentiality, integrity, availability and safety of endpoint devices. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization protect the confidentiality, integrity, availability and safety of endpoint devices? | 9 | Protect | null | X | X | There is no evidence of a capability to protect the confidentiality, integrity, availability and safety of endpoint devices. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized.
• All endpoint devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., full drive encryption).
• Security awareness training covers unauthorized alterations and evidence of tampering of technology assets.
• IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all projects. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• An ITAM function, or similar function, uses a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets that is configured to perform integrity checking and alert on unauthorized configuration changes.
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.
• A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.
• Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors.
• File Integrity monitor (FIM) technology is deployed to all HVAs to detect and report unauthorized changes to business-critical system files and configurations.
• Host-based Intrusion Detection/Prevention Systems (HIDS/HIPS) technology is deployed to all HVAs to detect and report unauthorized changes to business-critical system files and configurations. | Endpoint Security (END) 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. | Endpoint Security (END) 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 | 10.0
10.3
10.4
10.5
11.0 | 10.3 | 10.3
10.4
10.5 | 10.3
10.4
10.5 | DSS05.01
DSS05.03 | null | TVM-02
TVM-04
UEM-02
UEM-05 | null | null | null | FR 3 (7.1) | null | null | null | null | null | 8.1
8.5 | null | null | null | null | null | null | T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1025, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1078, T1078.001, T1078.003, T1078.004, T1213, T1213.001, T1213.002, T1530, T1550.001, T1552, T1552.001, T1552.002, T1552.003, T1552.004, T1565, T1565.001, T1565.003, T1567, T1599, T1599.001, T1602, T1602.001, T1602.002 | null | null | null | null | null | null | null | SC-28 | null | SC-28 | SC-28 | SC-28 | null | null | SC-28 | SC-28 | null | null | null | SC-28 | SC-28 | null | SC-28 | null | SC-28 | null | SC-28 | SC-28 | 3.13.16 | null | 3.13.16 | null | null | null | null | PR.DS-10 | null | 3.4
3.4.1 | 1.5
1.5.1 | null | 1.5.1 | null | null | null | 1.5.1 | 1.5.1 | 1.5.1 | null | M.1.7 | null | 5.2.3 | null | null | null | null | null | null | 5.13.3
5.13.4 | null | SC.L2-3.13.16 | SC.L2-3.13.16 | null | SC.L2-3.13.16 | SC.L2-3.13.16 | SC-28 | null | null | null | null | null | null | null | SC-28 | null | SC-28 | SC-28 | null | SC-28 | SC-28 | SC-28 | SC-28 | SC-28 | null | null | null | null | null | 164.310(c) | 2.S.A
8.S.A | 1.M.A
2.M.A
9.M.A
9.M.B | 1.M.A
2.M.A
9.M.A
9.M.B
1.L.A | SC-28 | null | null | 8-604 | 5.1
5.2 | 6.10 | null | null | null | 5.8 | null | SC-28 | SC-28 | null | null | null | null | null | null | null | null | null | 17.04(5) | null | null | null | 622(2)(d)(C)(iii) | null | null | null | null | null | SC-28 | null | null | § 2447(c)(6)
§ 2447(c)(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.1
7.3
15.5 | null | null | null | null | null | null | null | null | null | null | null | 2-3-1-2 | TPC-22 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 4.5 | null | null | null | null | null | null | null | null | 4.3
4.4 | null | null | null | null | null | null | null | null | null | null | null | null | MA 201 CMR 17
OR 6464A | 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-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 | null | 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 |
Endpoint Security | Prohibit Installation Without Privileged Status | END-03 | Automated mechanisms exist to prohibit software installations without explicitly assigned privileged status. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Removal of local admin rights
- Privileged Account Management (PAM)
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization use automated mechanisms to prohibit software installations without explicitly assigned privileged status? | 9 | Protect | X | X | X | There is no evidence of a capability to prohibit software installations without explicitly assigned privileged status. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, 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 Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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 prohibit software installations without explicitly assigned privileged status. | null | CC6.8-POF1 | null | null | null | null | null | null | null | UEM-07 | IAM-04 | null | null | null | null | null | null | null | 12.5.1
12.6.2 | 8.19 | 12.5.1
12.6.2 | null | 6.9.6.2 | null | null | null | null | null | null | null | null | null | null | null | CM-11
CM-11(2) | CM-11 | CM-11 | CM-11 | CM-11
CM-11(2) | null | CM-11 | CM-11 | CM-11 | CM-11(2) | null | CM-11 | CM-11 | CM-11 | null | CM-11 | CM-11 | null | null | CM-11 | CM-11 | 3.4.9 | null | null | null | null | null | null | PR.PS-05 | null | null | null | null | null | null | null | null | null | null | null | null | M.1.31 | null | null | null | null | null | null | AM:SG1.SP1
COMP:SG3.SP2
MON:SG2.SP3 | 1.5 | null | null | CM.L2-3.4.9 | null | null | CM.L2-3.4.9 | CM.L2-3.4.9 | CM-11 | null | null | null | null | null | null | null | CM-11 | CM-11 | CM-11 | CM-11 | CM-11 | CM-11 | CM-11 | CM-11 | CM-11 | CM-11 | null | null | null | null | null | null | 2.S.A | 2.M.A | 2.M.A | CM-11 | null | null | null | null | 6.10 | null | null | null | null | null | null | null | III.D.1.d | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-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 | 6.3 | 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 | 3 | null | null | Principle 1.1 | Principle 1.1
Principle 1.2 | Principle 1.1
Principle 1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.5.1
12.5.1.1.PB
12.6.2 | 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 | 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-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 | 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 |
Endpoint Security | Software Installation Alerts | END-03.1 | Mechanisms exist to generate an alert when new software is detected. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization generate an alert when new software is detected? | 8 | Protect | null | null | X | There is no evidence of a capability to generate an alert when new software is detected. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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 generate an alert when new software is detected. | null | CC6.8-POF2 | null | 2.3 | 2.3 | 2.3 | 2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-11(1) | null | null | null | CM-8(3)
CM-11(3) | null | null | CM-8(3) | CM-8(3) | CM-11(3) | null | null | CM-8(3) | CM-8(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 | G.2.5.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CM-11(1) | null | null | CM-11(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 | 6.3 | 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 | 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-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 | null | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | 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 |
Endpoint Security | Governing Access Restriction for Change | END-03.2 | Mechanisms exist to define, document, approve and enforce access restrictions associated with changes to systems. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Does the organization define, document, approve and enforce access restrictions associated with changes to systems? | 8 | Protect | null | X | X | There is no evidence of a capability to define, document, approve and enforce access restrictions associated with changes to systems. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define, document, approve and enforce access restrictions associated with changes to systems. | null | null | null | null | null | null | null | null | null | UEM-02
UEM-03 | null | null | null | null | null | null | null | null | 12.5.1 | 8.19 | 12.5.1 | null | 6.9.5
6.9.5.1 | null | null | null | T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1047, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.006, T1059.008, T1072, T1078, T1078.002, T1078.003, T1078.004, T1098, T1098.001, T1098.002, T1098.003, T1134, T1134.001, T1134.002, T1134.003, T1136, T1136.001, T1136.002, T1136.003, T1137.002, T1176, T1185, T1190, T1195.003, T1197, T1210, T1213, T1213.001, T1213.002, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1525, T1528, T1530, T1537, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.003, T1547.004, T1547.006, T1547.007, T1547.009, T1547.011, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.002, T1552.007, T1553, T1553.006, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1564.008, T1569, T1569.001, T1569.002, T1574, T1574.005, T1574.010, T1574.011, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1599, T1599.001, T1601, T1601.001, T1601.002, T1611, T1619 | null | null | null | null | null | null | null | CM-5 | null | CM-5 | CM-5 | CM-5 | null | CM-5 | CM-5 | CM-5 | null | null | CM-5 | CM-5 | CM-5 | null | CM-5 | CM-5 | null | null | CM-5 | CM-5 | null | null | 3.4.5[a]
3.4.5[b]
3.4.5[c]
3.4.5[d]
3.4.5[e]
3.4.5[f]
3.4.5[g]
3.4.5[h] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | G.2.5.7 | null | null | null | null | null | null | TM:SG4.SP1 | null | null | null | null | null | null | null | null | CM-5 | null | null | null | null | null | null | null | CM-5 | null | CM-5 | CM-5 | null | CM-5 | null | CM-5 | CM-5 | null | null | null | null | null | null | null | null | null | null | CM-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 | CM-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 | 12.5.1
12.5.1.1.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 | 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-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 | null | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | 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 |
Endpoint Security | Malicious Code Protection (Anti-Malware) | END-04 | Mechanisms exist to utilize antimalware technologies to detect and eradicate malicious code. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- Antimalware software
- NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization utilize antimalware technologies to detect and eradicate malicious code? | 10 | Detect | null | X | X | There is no evidence of a capability to utilize antimalware technologies to detect and eradicate malicious code. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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 antimalware technologies to detect and eradicate malicious code. | CC6.8 | CC6.8-POF4 | null | 9.7
10.1 | 10.1 | 10.1 | 9.7
10.1 | DSS05.01 | null | TVM-02
UEM-09 | CLS-14 | SO12 | null | CR 3.2 (7.4)
SAR 3.2 (12.3.1)
HDR 3.2 (14.4.1)
NDR 3.2 (15.6.1) | null | null | null | null | 12.2.1 | 8.7 | 12.2.1 | null | 6.9.2
6.9.2.1 | null | null | null | T1001, T1001.001, T1001.002, T1001.003, T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1008, T1011.001, T1021.003, T1021.005, T1025, T1027, T1027.002, T1029, T1030, T1036, T1036.003, T1036.005, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1041, T1046, T1047, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1055, T1055.001, T1055.002, T1055.003, T1055.004, T1055.005, T1055.008, T1055.009, T1055.011, T1055.012, T1055.013, T1055.014, T1056.002, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1080, T1090, T1090.001, T1090.002, T1091, T1092, T1095, T1098.004, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1106, T1111, T1132, T1132.001, T1132.002, T1137, T1137.001, T1176, T1185, T1189, T1190, T1201, T1203, T1204, T1204.001, T1204.002, T1204.003, T1210, T1211, T1212, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1219, T1221, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1505.004, T1525, T1539, T1543, T1543.002, T1546.002, T1546.003, T1546.004, T1546.006, T1546.013, T1546.014, T1547.002, T1547.005, T1547.006, T1547.007, T1547.008, T1547.013, T1548, T1548.004, T1553.003, T1557, T1557.001, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1559.002, T1560, T1560.001, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1564.004, T1564.008, T1564.009, T1566, T1566.001, T1566.002, T1566.003, T1567, T1568, T1568.002, T1569, T1569.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.001, T1574.004, T1574.007, T1574.008, T1574.009, T1598, T1598.001, T1598.002, T1598.003, T1602, T1602.001, T1602.002, T1611 | TS-1.0
TS-1.3 | null | null | null | null | null | null | SI-3 | SI-3 | SI-3 | SI-3 | SI-3 | null | SI-3 | SI-3 | SI-3 | null | null | SI-3 | SI-3 | SI-3 | null | SI-3 | SI-3 | SI-3 | null | SI-3 | SI-3 | 3.14.2 | 3.14.2.a
3.14.2.c
3.14.2.c.1
3.14.2.c.2 | 3.14.2[a]
3.14.2[b]
3.14.5[a]
3.14.5[b]
3.14.5[c] | A.03.14.02.a[01]
A.03.14.02.a[02]
A.03.14.02.c.01[01]
A.03.14.02.c.01[02]
A.03.14.02.c.02
A.03.14.02.ODP[01] | 3.13.1e | null | DE.CM-4 | null | null | 5.1
5.1.1
5.1.2
5.2
5.3 | 5.2.1
5.2.2
5.3.1
5.3.2
5.3.2.1
5.3.3
5.3.4
5.3.5 | null | 5.2.1
5.2.2
5.3.1
5.3.2
5.3.2.1
5.3.3
5.3.4
5.3.5 | null | null | 5.2.1
5.2.2
5.3.1
5.3.2
5.3.2.1
5.3.3
5.3.4
5.3.5 | 5.2.1
5.2.2
5.3.1
5.3.2
5.3.3
5.3.4
5.3.5 | 5.2.1
5.2.2
5.3.1
5.3.2
5.3.2.1
5.3.3
5.3.4
5.3.5 | 5.2.1
5.2.2
5.3.1
5.3.2
5.3.2.1
5.3.3
5.3.4
5.3.5 | null | U.1.5.1 | 6.1 | 5.2.3 | 14.1
14.2 | null | null | null | VAR:SG2.SP2
VAR:SG2.SP3
VAR:SG3.SP1 | null | 5.10.4.2 | SI.L1-3.14.2 | SI.L1-3.14.2 | SI.L1-3.14.2
TBD - 3.13.1e | SI.L1-b.1.xii
SI.L1-b.1.xiii
SI.L1-b.1.xiv
SI.L1-b.1.xv | SI.L2-3.14.2 | SI.L2-3.14.2 | SI-3 | null | null | null | 52.204-21(b)(1)(xii)
52.204-21(b)(1)(xii)
52.204-21(b)(1)(xiv)
52.204-21(b)(1)(xv) | null | null | null | SI-3 | SI-3 | SI-3 | SI-3 | SI-3 | SI-3 | SI-3 | SI-3 | SI-3 | SI-3 | null | D3.DC.Th.B.2 | null | null | null | null | 2.S.A
8.S.A | 1.M.A
2.M.A
9.M.B | 1.M.A
2.M.A
9.M.B
1.L.A | SI-3 | null | CIP-007-6
R3 | 8-305 | 17.2 | 6.10
6.12
6.14 | null | null | null | 5.8 | SI-3 | SI-3 | SI-3 | null | null | null | null | null | null | null | null | null | 17.04(7) | null | null | null | null | null | null | null | SI-3 | SI-3 | SI-3 | null | null | § 2447(c)(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OPS-04
OPS-05 | null | null | null | 7.1
7.3
12.20
15.5 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-12 | null | 2-3-3-1
2-4-3-4
5-1-3-10 | 2-3-1-8 | null | null | null | null | 7.3.6 [OP.EXP.6] | null | null | null | null | B4.c | null | 4 | null | null | null | null | null | null | null | 1417
1286
1284
1288
1289
1290 | null | null | null | null | null | null | null | null | null | null | 12.2.1 | null | null | 14.1.9.C.02 | null | null | null | 4.5 | 11.3.3 | null | null | null | null | null | 6.12 | null | 4.3
4.4 | null | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21
MA 201 CMR 17 | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
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 | null | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - updated DFARS mapping
- updated CIS 8.0 |
Endpoint Security | Automatic Antimalware Signature Updates | END-04.1 | Mechanisms exist to automatically update antimalware technologies, including signature definitions. | - Antimalware software | null | Does the organization automatically update antimalware technologies, including signature definitions? | 9 | Protect | null | X | X | There is no evidence of a capability to automatically update antimalware technologies, including signature definitions. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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 automatically update antimalware technologies, including signature definitions. | null | null | null | 10.2 | 10.2 | 10.2 | 10.2 | null | null | TVM-04
TVM-05 | null | null | null | HDR 3.2 (14.4.3(1)) | null | null | null | null | 12.2.1 | 8.7 | 12.2.1 | null | null | null | null | null | null | TS-1.3 | null | null | null | null | null | null | SI-3(2) | null | SI-3(2) | SI-3(2) | SI-2
SI-3 | null | SI-2
SI-3 | SI-2
SI-3 | SI-2
SI-3 | null | null | SI-2
SI-3 | SI-2
SI-3 | SI-2
SI-3 | null | SI-2
SI-3 | SI-2
SI-3 | SI-2
SI-3 | null | SI-2
SI-3 | SI-2
SI-3 | 3.14.4 | 3.14.2.b | 3.14.4 | A.03.14.02.b | null | null | null | null | null | 5.2 | 5.3.1 | null | 5.3.1 | null | null | 5.3.1 | 5.3.1 | 5.3.1 | 5.3.1 | null | U.1.5.2.1 | 6.1 | null | null | null | null | null | null | null | null | SI.L1-3.14.4 | SI.L1-3.14.4 | SI.L1-3.14.4 | SI.L1-b.1.xiv | SI.L2-3.14.4 | SI.L2-3.14.4 | SI-3(2) | null | null | null | 52.204-21(b)(1)(xiv) | null | null | null | SI-3(2) | null | SI-3(2) | SI-3(2) | null | null | null | null | null | null | null | null | null | null | null | null | 2.S.A | 1.M.A
2.M.A | 1.M.A
2.M.A | SI-2
SI-3 | null | null | null | null | 6.13 | null | null | null | null | null | null | SI-3(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-2
SI-3 | null | SI-3(2) | null | null | § 2447(c)(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.9 | 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 | C1.d | null | 4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.2.1 | null | null | null | null | null | null | null | 11.3.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21 | 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-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 | null | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | 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 |
Endpoint Security | Documented Protection Measures | END-04.2 | Mechanisms exist to document antimalware technologies. | null | null | Does the organization document antimalware technologies? | 3 | Identify | null | X | null | There is no evidence of a capability to document antimalware technologies. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document antimalware technologies. | null | null | null | null | null | null | null | null | null | TVM-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.4 | 5.1.2 | null | null | null | null | null | null | 5.1.2 | 5.1.2 | null | U.1.5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-BC-2
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-4
R-GV-6
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | null | null | null | null | null | null | R-AM-3 | null | R-BC-2 | null | R-BC-4 | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | null | null | null | R-GV-4 | null | R-GV-6 | 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 |
Endpoint Security | Centralized Management of Antimalware Technologies | END-04.3 | Mechanisms exist to centrally-manage antimalware technologies. | - Antimalware software | E-MON-02 | Does the organization centrally-manage antimalware technologies? | 8 | Detect | X | X | X | There is no evidence of a capability to centrally-manage antimalware technologies. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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 centrally-manage antimalware technologies. | null | null | null | 9.7
10.6 | null | 10.6 | 9.7
10.6 | null | null | TVM-03
TVM-04
TVM-05 | null | null | null | HDR 3.2 (14.4.3(1)) | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.3 | null | null | null | null | null | null | SI-3(1) | null | SI-3(1) | SI-3(1) | 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 | 5.3.4 | null | 5.3.4 | null | null | 5.3.4 | 5.3.4 | 5.3.4 | 5.3.4 | null | U.1.5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-3(1) | null | null | null | null | null | null | null | SI-3(1) | null | SI-3(1) | SI-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 | SI-3(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-3(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.7
12.20 | 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 | 11.3.5 | 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-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-1
NT-2
NT-3
NT-4
NT-5
NT-6
NT-7
NT-8
NT-9
NT-10
NT-11
NT-12
NT-13
NT-14
MT-1
MT-2
MT-3
MT-4
MT-5
MT-6
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | NT-1 | NT-2 | NT-3 | NT-4 | NT-5 | NT-6 | NT-7 | NT-8 | NT-9 | NT-10 | NT-11 | NT-12 | NT-13 | NT-14 | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - updated CIS 8.0 |
Endpoint Security | Heuristic / Nonsignature-Based Detection | END-04.4 | Mechanisms exist to utilize heuristic / nonsignature-based antimalware detection capabilities. | - Antimalware software | null | Does the organization utilize heuristic / nonsignature-based antimalware detection capabilities? | 8 | Detect | null | X | X | There is no evidence of a capability to utilize heuristic / nonsignature-based antimalware detection capabilities. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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 heuristic / nonsignature-based antimalware detection capabilities. | null | null | null | 10.7 | null | 10.7 | 10.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.3 | null | null | null | null | null | null | SI-3(7) | null | null | null | SI-3 | null | SI-3 | SI-3 | SI-3 | null | null | SI-3 | SI-3 | SI-3 | null | SI-3 | SI-3 | SI-3 | null | SI-3 | SI-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | U.1.5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-3(7) | null | SI-3(7) | SI-3(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1.L.A | SI-3 | null | null | null | null | null | null | null | null | null | null | null | SI-3(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-3 | null | SI-3(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-4-3-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1286 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 |
Endpoint Security | Malware Protection Mechanism Testing | END-04.5 | Mechanisms exist to test antimalware technologies by introducing a known benign, non-spreading test case into the system and subsequently verifying that both detection of the test case and associated incident reporting occurs. | - EICAR test file | null | Does the organization test antimalware technologies by introducing a known benign, non-spreading test case into the system and subsequently verifying that both detection of the test case and associated incident reporting occurs? | 5 | Detect | null | X | X | There is no evidence of a capability to test antimalware technologies by introducing a known benign, non-spreading test case into the system and subsequently verifying that both detection of the test case and associated incident reporting occurs. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to test antimalware technologies by introducing a known benign, non-spreading test case into the system and subsequently verifying that both detection of the test case and associated incident reporting occurs. | null | null | null | null | null | null | null | null | null | null | null | null | null | CR 3.3 (7.5.1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-3(6) | null | null | null | SI-3(6) | null | null | null | null | SI-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 | K.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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 |
Endpoint Security | Evolving Malware Threats | END-04.6 | Mechanisms exist to perform periodic evaluations evolving malware threats to assess systems that are generally not considered to be commonly affected by malicious software. | null | null | Does the organization perform periodic evaluations evolving malware threats to assess systems that are generally not considered to be commonly affected by malicious software? | 3 | Detect | null | X | null | There is no evidence of a capability to perform periodic evaluations evolving malware threats to assess systems that are generally not considered to be commonly affected by malicious software. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform periodic evaluations evolving malware threats to assess systems that are generally not considered to be commonly affected by malicious software. | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.13.1e | null | null | null | null | 5.1.2 | 5.2.3
5.2.3.1 | null | 5.2.3
5.2.3.1 | null | null | 5.2.3
5.2.3.1 | null | 5.2.3
5.2.3.1 | 5.2.3
5.2.3.1 | null | J.3.1 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.13.1e | 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 | 12.20 | 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 | 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 |
Endpoint Security | Always On Protection | END-04.7 | Mechanisms exist to ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period. | - Antimalware software | null | Does the organization ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period? | 9 | Detect | null | null | X | There is no evidence of a capability to ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes. | See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period. | null | CC6.8-POF5 | null | null | null | null | null | null | null | TVM-02
UEM-09 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.0
TS-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 | 3.14.5 | 3.14.2.a
3.14.2.c
3.14.2.c.1
3.14.2.c.2 | 3.14.5[c] | null | null | null | null | null | null | 5.3 | 5.3.2
5.3.2.1
5.3.3
5.3.5 | null | 5.3.2
5.3.2.1
5.3.3
5.3.5 | null | null | 5.3.2
5.3.2.1
5.3.3
5.3.5 | 5.3.2
5.3.3
5.3.5 | 5.3.2
5.3.2.1
5.3.3
5.3.5 | 5.3.2
5.3.2.1
5.3.3
5.3.5 | null | U.1.5.2.4 | null | null | null | null | null | null | null | null | null | SI.L1-3.14.5 | SI.L1-3.14.5 | SI.L1-3.14.5 | SI.L1-b.1.xv | SI.L2-3.14.5 | SI.L2-3.14.5 | null | null | null | null | 52.204-21(b)(1)(xv) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.S.A
8.S.A | null | null | null | null | null | null | null | 6.12
6.14 | 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 | 7.5
12.25 | 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 | x | FAR 52.204-21 | 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 |
Endpoint Security | Software Firewall | END-05 | Mechanisms exist to utilize host-based firewall software, or a similar technology, on all information systems, where technically feasible. | - NNT Change Tracker (https://www.newnettechnologies.com) | null | Does the organization utilize host-based firewall software, or a similar technology, on all information systems, where technically feasible? | 9 | Protect | null | null | X | There is no evidence of a capability to utilize host-based firewall software, or a similar technology, on all information systems, where technically feasible. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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 host-based firewall software, or a similar technology, on all information systems, where technically feasible. | null | null | null | 4.5 | 4.5 | 4.5 | 4.5 | null | null | UEM-10 | null | null | null | null | null | null | null | null | null | null | null | null | 6.11.1.2 | 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 | 1.4 | 1.5.1 | null | 1.5.1 | null | null | null | 1.5.1 | 1.5.1 | 1.5.1 | null | I.3.23 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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.S.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 | § 2447(c)(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 | 1 | null | null | null | null | null | null | null | 1416 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.3
4.4 | 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 |
Endpoint Security | Endpoint File Integrity Monitoring (FIM) | END-06 | Mechanisms exist to utilize File Integrity Monitor (FIM) technology to detect and report unauthorized changes to system files and configurations. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com)
- File Integrity Monitor (FIM) | null | Does the organization utilize File Integrity Monitor (FIM) technology to detect and report unauthorized changes to system files and configurations? | 8 | Protect | null | X | X | There is no evidence of a capability to utilize File Integrity monitor (FIM) technology to detect and report unauthorized changes to system files and configurations. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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. | Endpoint Security (END) 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. | CC6.8 | CC7.1-POF2
CC7.1-POF3
CC7.1-POF4 | null | null | null | null | null | null | null | null | SAP-06 | SO12 | null | FR 3 (7.1) | null | null | null | null | null | null | null | null | null | null | null | null | T1003, T1003.003, T1020.001, T1027, T1027.002, T1036, T1036.001, T1036.005, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1040, T1047, T1053.006, T1056.002, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1072, T1080, T1098.001, T1098.002, T1098.003, T1114, T1114.001, T1114.002, T1114.003, T1119, T1127, T1129, T1133, T1136, T1136.001, T1136.002, T1136.003, T1176, T1185, T1189, T1190, T1195.003, T1203, T1204, T1204.002, T1204.003, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.010, T1218.011, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1222, T1222.001, T1222.002, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1495, T1505, T1505.001, T1505.002, T1505.004, T1525, T1530, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.002, T1546, T1546.002, T1546.004, T1546.006, T1546.008, T1546.009, T1546.010, T1546.013, T1547.002, T1547.003, T1547.004, T1547.005, T1547.006, T1547.008, T1547.011, T1547.013, T1548, T1548.004, T1550.001, T1550.004, T1552, T1552.004, T1553, T1553.001, T1553.003, T1553.005, T1553.006, T1554, T1556, T1556.001, T1556.003, T1556.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.009, T1564.003, T1564.004, T1564.006, T1564.008, T1564.009, T1565, T1565.001, T1565.002, T1569, T1569.002, T1574, T1574.001, T1574.004, T1574.006, T1574.007, T1574.008, T1574.009, T1574.012, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002, T1609, T1611 | TS-2.6 | null | null | PR.DS-P6
PR.DS-P8 | null | null | null | SI-7 | null | SI-7 | SI-7 | SI-7 | null | null | SI-7 | SI-7 | null | null | null | SI-7 | SI-7 | null | SI-7 | SI-7 | SI-7 | null | SI-7 | SI-7 | null | null | null | null | null | null | PR.DS-6 | DE.CM-09 | null | 11.5
11.5.1 | 10.3.4
11.5
11.5.2 | null | 11.5.2 | null | null | 11.5.2 | null | 11.5.2 | 11.5.2 | null | M.1.43 | 6.2 | null | null | null | null | null | KIM:SG5.SP1
KIM:SG5.SP2
KIM:SG5.SP3
TM:SG4.SP1
TM:SG4.SP2
TM:SG4.SP3
TM:SG4.SP4 | null | null | null | null | null | null | null | null | SI-7 | null | null | null | null | null | null | null | SI-7 | null | SI-7 | SI-7 | null | SI-7 | null | SI-7 | SI-7 | null | null | D3.PC.Se.Int.3
D3.PC.De.Int.2 | null | null | null | null | null | null | 2.L.D | SI-7 | null | null | 8-302 | null | null | null | null | null | null | null | SI-7 | SI-7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7 | null | null | null | 3.4.4(36)(e) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.4
12.19 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-5-4 | 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 | 14.1.12.C.01
14.1.12.C.02
14.1.12.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 | 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 |
Endpoint Security | Integrity Checks | END-06.1 | Mechanisms exist to validate configurations through integrity checking of software and firmware. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com)
- File Integrity Monitor (FIM) | null | Does the organization validate configurations through integrity checking of software and firmware? | 6 | Detect | null | null | X | There is no evidence of a capability to validate configurations through integrity checking of software and firmware. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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. | Endpoint Security (END) 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. | CC7.1 | 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 | PR.DS-P6
PR.DS-P8 | null | null | null | SI-7(1) | null | SI-7(1) | SI-7(1) | SI-7(1) | null | null | SI-7(1) | SI-7(1) | null | null | null | SI-7(1) | SI-7(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | PR.DS-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | L.24.3.1 | 6.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7(1) | null | null | null | null | null | null | null | SI-7(1) | null | SI-7(1) | SI-7(1) | null | SI-7(1) | null | SI-7(1) | SI-7(1) | null | null | null | null | null | null | null | null | null | null | SI-7(1) | null | null | null | null | null | null | null | null | null | null | null | SI-7(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 |
Endpoint Security | Integration of Detection & Response | END-06.2 | Mechanisms exist to detect and respond to unauthorized configuration changes as cybersecurity incidents. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)
- NNT Change Tracker (https://www.newnettechnologies.com)
- File Integrity Monitor (FIM) | null | Does the organization detect and respond to unauthorized configuration changes as cybersecurity incidents? | 9 | Respond | null | X | null | There is no evidence of a capability to detect and respond to unauthorized configuration changes as cybersecurity incidents. | Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel.
• IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software.
• Data management is decentralized. | Endpoint Security (END) 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:
• Endpoint security 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 endpoint security management.
• Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
• Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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 detect and respond to unauthorized configuration changes as cybersecurity incidents. | CC7.3 | 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 | PR.DS-P6
PR.DS-P8 | null | null | null | SI-7(7) | null | SI-7(7) | SI-7(7) | SI-7(7) | null | null | SI-7(7) | SI-7(7) | null | null | null | SI-7(7) | SI-7(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 10.7
10.7.1
10.7.2
10.7.3 | null | null | null | null | null | null | 10.7.2
10.7.3 | 10.7.1
10.7.2
10.7.3 | null | J.2 | null | null | null | null | null | SITUATION-3.G.MIL3 | null | null | null | null | null | null | null | null | null | SI-7(7) | null | null | null | null | null | null | null | SI-7(7) | null | SI-7(7) | SI-7(7) | null | SI-7(7) | null | SI-7(7) | SI-7(7) | null | null | null | null | null | null | null | null | null | 2.L.D | SI-7(7) | null | null | null | null | null | null | null | null | null | null | null | SI-7(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 |
Endpoint Security | Automated Notifications of Integrity Violations | END-06.3 | Automated mechanisms exist to alert incident response personnel upon discovering discrepancies during integrity verification. | - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) | null | Does the organization use automated mechanisms to alert incident response personnel upon discovering discrepancies during integrity verification? | 5 | Respond | null | null | X | There is no evidence of a capability to alert incident response personnel up on discovering discrepancies during integrity verification. | SP-CMM1 is N/A, since a structured process is required to alert incident response personnel up on discovering discrepancies during integrity verification. | SP-CMM2 is N/A, since a well-defined process is required to alert incident response personnel up on discovering discrepancies during integrity verification. | Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:
• Configuration management is centralized for all operating systems, applications, servers and other configurable technologies.
• Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments.
• Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.
• An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts.
• An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
• A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities.
• A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
• The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices.
• Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. | Endpoint Security (END) 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. | Endpoint Security (END) 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 | PR.DS-P6
PR.DS-P8 | null | null | null | SI-7(2) | null | null | SI-7(2) | SI-7(2) | null | null | null | SI-7(2) | null | null | null | null | SI-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 | 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 | SI-7(2) | null | null | SI-7(2) | null | SI-7(2) | null | null | SI-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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 |