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

Endpoint Security

Automated Response to Integrity Violations

END-06.4

Automated mechanisms exist to implement remediation actions when integrity violations are discovered.

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

null

Does the organization use automated mechanisms to implement remediation actions when integrity violations are discovered?

5

Respond

null

X

There is no evidence of a capability to implement remediation actions when integrity violations are discovered.

SP-CMM1 is N/A, since a structured process is required to implement remediation actions when integrity violations are discovered.

SP-CMM2 is N/A, since a well-defined process is required to implement remediation actions when integrity violations are discovered.

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

PR.DS-P6 PR.DS-P8

null

SI-7(5)

null

SI-7(5)

null

SI-7(5)

null

SI-7(5)

null

J.2.13

null

SI-7(5)

null

SI-7(5)

null

SI-7(5)

null

SI-7(5)

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Endpoint Security

Boot Process Integrity

END-06.5

Automated mechanisms exist to verify the integrity of the boot process of information systems.

null

Does the organization use automated mechanisms to verify the integrity of the boot process of information systems?

5

Protect

null

X

There is no evidence of a capability to verify the integrity of the boot process of information systems.

SP-CMM1 is N/A, since a structured process is required to verify the integrity of the boot process of information systems.

SP-CMM2 is N/A, since a well-defined process is required to verify the integrity of the boot process of information systems.

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

CR 3.14 (7.16) EDR 3.14 (13.9.1) EDR 3.14 (13.9.3(1)) HDR 3.14 (14.9.1) HDR 3.14 (14.9.3(1)) NDR 3.14 (15.11.1) NDR 3.14 (15.11.3(1))

null

SI-7(9)

null

SI-7(9)

null

SI-7(9)

null

3.14.1e

null

H.14

null

TBD - 3.14.1e

null

SI.L3-3.14.1e

null

Principle 8

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Endpoint Security

Protection of Boot Firmware

END-06.6

Automated mechanisms exist to protect the integrity of boot firmware in information systems.

null

Does the organization use automated mechanisms to protect the integrity of boot firmware in information systems?

5

Protect

null

X

There is no evidence of a capability to protect the integrity of boot firmware in information systems.

SP-CMM1 is N/A, since a structured process is required to protect the integrity of boot firmware in information systems.

SP-CMM2 is N/A, since a well-defined process is required to protect the integrity of boot firmware in information systems.

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

CCM-06

null

EDR 3.14 (13.9.3(1)) HDR 3.14 (14.9.3(1)) NDR 3.14 (15.11.3(1))

null

SI-7(10)

null

SI-7(10)

null

SI-7(10)

null

H.14

null

SI-7(10)

null

Principle 8

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Endpoint Security

Binary or Machine-Executable Code

END-06.7

Mechanisms exist to prohibit the use of binary or machine-executable code from sources with limited or no warranty and without access to source code.

null

Does the organization prohibit the use of binary or machine-executable code from sources with limited or no warranty and without access to source code?

5

Protect

null

X

There is no evidence of a capability to prohibit the use of binary or machine-executable code from sources with limited or no warranty and without access to source 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 prohibit the use of binary or machine-executable code from sources with limited or no warranty and without access to source code.

null

SI-7(14)

null

SI-7(14)

CM-7(8)

null

CM-7(8)

null

CM-7(8) SI-7(14)

null

CM-7(8) SI-7(14)

null

M.1.39

null

SI-7(14)

null

SI-7(14)

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Host Intrusion Detection and Prevention Systems (HIDS / HIPS)

END-07

Mechanisms exist to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) on sensitive systems.

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

null

Does the organization utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) on sensitive systems?

9

Protect

null

X

There is no evidence of a capability to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) on sensitive 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 utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) on sensitive systems.

CC6.8

null

13.2 13.7

null

13.2

13.2 13.7

null

SAP-06

null

3.14.6.a 3.14.6.a.1 3.14.6.a.2 3.14.6.b 3.14.6.c

null

N.6

null

5.10.1.3

null

1.L.A 2.L.C 2.L.D

null

7.4 7.5 12.18 12.24 23.6

null

7.6.1 [OP.MON.1]

null

1341 1034 1418 0345

null

18.4.13.C.01

null

4.3 4.4

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Phishing & Spam Protection

END-08

Mechanisms exist to utilize anti-phishing and spam protection technologies to detect and take action on unsolicited messages transported by electronic mail.

null

Does the organization utilize anti-phishing and spam protection technologies to detect and take action on unsolicited messages transported by electronic mail?

10

Protect

null

X

There is no evidence of a capability to utilize anti-phishing and spam protection technologies to detect and take action on unsolicited messages transported by electronic mail.

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 anti-phishing and spam protection technologies to detect and take action on unsolicited messages transported by electronic mail.

null

9.6

null

9.6

null

T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1204, T1204.001, T1204.002, T1204.003, T1221, T1566, T1566.001, T1566.002, T1566.003, T1598, T1598.001, T1598.002, T1598.003

TS-1.8

null

SI-8

null

SI-8

null

SI-8

null

SI-8

null

5.4.1

null

5.4.1

null

5.4.1

null

D.11

null

8.3

5.10.4.3

null

SI-8

null

SI-8

null

SI-8

null

SI-8

null

SI-8

null

1.S.A 8.S.A

1.M.A

1.M.A 1.L.A

SI-8

null

8-302

null

SI-8

III.D.1.a

null

SI-8

null

TPC-16

null

2-4-3-1

null

15.2.21.C.01 15.2.23.C.01 15.2.23.C.02 15.2.23.C.03 15.2.24.C.01 15.2.24.C.02

null

14.1.6

null

4.3 4.4

null

x

Lockton

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Central Management

END-08.1

Mechanisms exist to centrally-manage anti-phishing and spam protection technologies.

null

Does the organization centrally-manage anti-phishing and spam protection technologies?

5

Protect

X

There is no evidence of a capability to centrally-manage anti-phishing and spam protection 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 anti-phishing and spam protection technologies.

null

TS-1.8

null

SI-8(1)

null

SI-8(1)

PL-9

null

PL-9

null

PL-9

null

D.11

null

SI-8(1)

null

SI-8(1)

null

SI-8(1)

null

1.S.A

1.M.A

1.M.A 1.L.A

null

SI-8(1)

null

SI-8(1)

null

4.3 4.4

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Automatic Spam and Phishing Protection Updates

END-08.2

Mechanisms exist to automatically update anti-phishing and spam protection technologies when new releases are available in accordance with configuration and change management practices.

null

Does the organization automatically update anti-phishing and spam protection technologies when new releases are available in accordance with configuration and change management practices?

8

Protect

null

X

There is no evidence of a capability to automatically update anti-phishing and spam protection technologies when new releases are available in accordance with configuration and change management practices.

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 anti-phishing and spam protection technologies when new releases are available in accordance with configuration and change management practices.

null

TS-1.8

null

SI-8(2)

null

SI-8(2)

null

SI-8(2)

null

SI-8(2)

null

U.1.5.4

null

SI-8(2)

null

SI-8(2)

null

SI-8(2)

null

SI-8(2)

null

SI-8(2)

null

1.S.A 8.S.A

1.M.A

1.M.A 1.L.A

SI-8(2)

null

SI-8(2)

null

SI-8(2)

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Trusted Path

END-09

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

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

null

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

9

Protect

null

X

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

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 establish a trusted communications path between the user and the security functions of the operating system.

null

SC-11

null

SC-11

null

SC-11

null

H.4

null

KIM:SG4.SP1

null

4.37

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Mobile Code

END-10

Mechanisms exist to address mobile code / operating system-independent applications.

null

Does the organization address mobile code / operating system-independent applications?

4

Detect

null

X

There is no evidence of a capability to address mobile code / operating system-independent applications.

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 address mobile code / operating system-independent applications.

null

CR 2.4 (6.6) SAR 2.4 (12.2.1) SAR 2.4 (12.2.1(a)) SAR 2.4 (12.2.1(b)) SAR 2.4 (12.2.1(c)) SAR 2.4 (12.2.3(1)) EDR 2.4 (13.2.1) 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)) EDR 2.4 (13.2.3(1)) HDR 2.4 (14.2.1) HDR 2.4 (14.2.1(a)) HDR 2.4 (14.2.1(b)) HDR 2.4 (14.2.1(c)) HDR 2.4 (14.2.3(1)) NDR 2.4 (15.4.1) NDR 2.4 (15.4.1(a)) NDR 2.4 (15.4.1(b)) NDR 2.4 (15.4.1(c)) NDR 2.4 (15.4.3(1))

null

T1021.003, T1055, T1055.001, T1055.002, T1055.003, T1055.004, T1055.005, T1055.008, T1055.009, T1055.011, T1055.012, T1055.013, T1055.014, T1059, T1059.005, T1059.007, T1068, T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1189, T1190, T1203, T1210, T1211, T1212, T1218.001, T1548, T1548.004, T1559, T1559.001, T1559.002, T1611

null

SC-18 SC-18(1) SC-18(2) SC-18(3) SC-18(4) SC-27

null

SC-18

SC-18 SC-18(1) SC-18(2) SC-18(3) SC-18(4) SC-27

null

SC-18

SC-18(1) SC-18(2) SC-18(3) SC-18(4) SC-27

null

SC-18

null

SC-18 SC-18(2) SC-27

null

SC-27

SC-18 SC-18(2) SC-27

3.13.13

3.13.13.a 3.13.13.b

3.13.13[a] 3.13.13[b]

A.03.13.13.a[01] A.03.13.13.a[02] A.03.13.13.b[01] A.03.13.13.b[02] A.03.13.13.b[03]

3.13.1e

null

DE.CM-5

null

U.1.15.1

null

SC.L2-3.13.13

SC.L2-3.13.13 TBD - 3.13.1e

null

SC.L2-3.13.13

SC-18

null

SC-18

null

SC-18

null

SC-18

null

SC-18

null

D3.PC.De.E.5

null

1.L.A 6.L.D

SC-18 SC-18(1) SC-18(2)

null

SC-18

III.D.1.d

null

SC-18

null

x

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Thin Nodes

END-11

Mechanisms exist to configure thin nodes to have minimal functionality and information storage.

null

Does the organization configure thin nodes to have minimal functionality and information storage?

4

Protect

null

X

There is no evidence of a capability to configure thin nodes to have minimal functionality and information storage.

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 configure thin nodes to have minimal functionality and information storage.

null

SC-25

null

SC-25

null

SC-25

null

3.13.4e

null

M.1.22

null

TBD - 3.13.4e

null

SC.L3-3.13.4e

null

8-613

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Port & Input / Output (I/O) Device Access

END-12

Mechanisms exist to physically disable or remove unnecessary connection ports or input/output devices from sensitive systems.

null

Does the organization physically disable or remove unnecessary connection ports or input/output devices from sensitive systems?

6

Protect

null

X

There is no evidence of a capability to physically disable or remove unnecessary connection ports or input/output devices from sensitive 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 physically disable or remove unnecessary connection ports or input/output devices from sensitive systems.

null

T1025, T1052, T1052.001, T1091, T1200

null

SC-41

null

SC-41

null

SC-41

null

SC-41

null

M.1.61

null

TM:SG2.SP2

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

- Added NIST 800-53 R5 mapping for SC-41

Endpoint Security

Sensor Capability

END-13

Mechanisms exist to configure embedded sensors on systems to: ▪ Prohibit the remote activation of sensing capabilities; and ▪ Provide an explicit indication of sensor use to users.

null

Does the organization configure embedded sensors on systems to: ▪ Prohibit the remote activation of sensing capabilities; and ▪ Provide an explicit indication of sensor use to users?

7

Protect

null

X

There is no evidence of a capability to configure embedded sensors on systems to: ▪ Prohibit the remote activation of sensing capabilities; and ▪ Provide an explicit indication of sensor use to users.

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. • 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.

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. • 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.

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 configure embedded sensors on systems to: ▪ Prohibit the remote activation of sensing capabilities; and ▪ Provide an explicit indication of sensor use to users.

null

GVN-06

null

SC-42

null

SC-42

null

SC-42

null

M.1.63

null

TM:SG2.SP2

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Authorized Use

END-13.1

Mechanisms exist to utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes.

null

Does the organization utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes?

8

Protect

null

X

null

There is no evidence of a capability to utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes.

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. • 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.

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. • 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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes.

null

SC-42(2)

null

SC-42(2)

null

SC-42(2)

null

P.5.2.1

null

Art 5.2

null

Sec 8 Sec 9 Sec 13.1

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Notice of Collection

END-13.2

Mechanisms exist to notify individuals that Personal Data (PD) is collected by sensors.

- Visible or auditory alert - Data Protection Impact Assessment (DPIA)

null

Does the organization notify individuals that Personal Data (PD) is collected by sensors?

6

Identify

null

X

There is no evidence of a capability to notify individuals that Personal Data (PD) is collected by sensors.

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. • 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.

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. • 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.

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 notify individuals that Personal Data (PD) is collected by sensors.

null

SC-42(4)

null

SC-42(4)

null

P.6.1.1

null

Art 5.1

null

Sec 18

null

x

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-3

null

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Collection Minimization

END-13.3

Mechanisms exist to utilize sensors that are configured to minimize the collection of information about individuals.

null

Does the organization utilize sensors that are configured to minimize the collection of information about individuals?

8

Protect

null

X

null

There is no evidence of a capability to utilize sensors that are configured to minimize the collection of information about individuals.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize sensors that are configured to minimize the collection of information about individuals.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize sensors that are configured to minimize the collection of information about individuals.

null

5.5

null

PM-25 SA-8(33) SC-42(5)

PM-25 SA-8(33)

null

SC-42(5)

null

PM-25

null

PM-25

null

P.5.1

null

6-1-1308(3)

null

Art 5.1

null

Sec 10

null

x

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-3

null

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Embedded Technology

Sensor Delivery Verification

END-13.4

Mechanisms exist to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.

null

Does the organization verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles?

4

Protect

null

X

null

There is no evidence of a capability to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.

SP-CMM1 is N/A, since a structured process is required to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.

null

GVN-06

null

SC-42(1)

null

SC-42(1)

null

P.9.1

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Collaborative Computing Devices

END-14

Mechanisms exist to unplug or prohibit the remote activation of collaborative computing devices with the following exceptions: ▪ Networked whiteboards; ▪ Video teleconference cameras; and ▪ Teleconference microphones.

- Unplug devices when not needed

null

Does the organization unplug or prohibit the remote activation of collaborative computing devices with the following exceptions: ▪ Networked whiteboards; ▪ Video teleconference cameras; and ▪ Teleconference microphones?

9

Protect

null

X

There is no evidence of a capability to unplug or prohibit the remote activation of collaborative computing devices with the following exceptions: ▪ Networked whiteboards; ▪ Video teleconference cameras; and ▪ Teleconference microphones.

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

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

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 unplug or prohibit the remote activation of collaborative computing devices with the following exceptions: ▪ Networked whiteboards; ▪ Video teleconference cameras; and ▪ Teleconference microphones.

null

SC-15 SC-15(1)

SC-15

SC-15 SC-15(1)

null

SC-15

SC-15(1)

null

SC-15

null

3.13.12

3.13.12.a 3.13.12.b

3.13.12[a] 3.13.12[b] 3.13.12[c]

A.03.13.12.a A.03.13.12.b

null

M.2.4

null

SC.L2-3.13.12

null

SC.L2-3.13.12

SC-15

null

SC-15

null

SC-15

null

SC-15

null

5.6

null

0231

null

Article 26

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Disabling / Removal In Secure Work Areas

END-14.1

Mechanisms exist to disable or remove collaborative computing devices from critical information systems and secure work areas.

null

Does the organization disable or remove collaborative computing devices from critical information systems and secure work areas?

5

Protect

null

X

There is no evidence of a capability to disable or remove collaborative computing devices from critical information systems and secure work areas.

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

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

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

SC-15(3)

null

SC-15(3)

null

SC-15(3)

null

M.2

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Explicitly Indicate Current Participants

END-14.2

Automated mechanisms exist to provide an explicit indication of current participants in online meetings and teleconferences.

null

Does the organization use automated mechanisms to provide an explicit indication of current participants in online meetings and teleconferences?

5

Protect

null

X

There is no evidence of a capability to provide an explicit indication of current participants in online meetings and teleconferences.

SP-CMM1 is N/A, since a structured process is required to provide an explicit indication of current participants in online meetings and teleconferences.

SP-CMM2 is N/A, since a well-defined process is required to provide an explicit indication of current participants in online meetings and teleconferences.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide an explicit indication of current participants in online meetings and teleconferences.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide an explicit indication of current participants in online meetings and teleconferences.

null

SC-15(4)

null

SC-15(4)

null

SC-15(4)

null

A.03.13.12.a

null

M.2

null

SC-15(4)

null

x

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

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Endpoint Security

Hypervisor Access

END-15

Mechanisms exist to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.

null

Does the organization restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems?

9

Protect

null

X

There is no evidence of a capability to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized 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. • Administrative processes exist and technologies are configured to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.

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. • Administrative processes exist and technologies are configured to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.

null

U.1.9.6

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Restrict Access To Security Functions

END-16

Mechanisms exist to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.

- Windows Defender Device Guard

null

Does the organization ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions?

7

Protect

null

X

There is no evidence of a capability to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.

null

6.10.1.3

null

SC-3

null

SC-3

null

SC-3

null

SC-3

null

3.14.3e

null

A01:2021 A05:2021

1.2 1.3.1 2.2.1 11.3.4 11.3.4.1

2.2.3 10.7.1 11.4.5 11.4.6

null

2.2.3 11.4.5

null

11.4.5

2.2.3 11.4.5

null

2.2.3 11.4.5

2.2.3 10.7.1 11.4.5 11.4.6

null

H.2.3

null

SI.L3-3.14.3e

null

SC-3

null

SC-3

null

SC-3

null

SC-3

null

8-105

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Endpoint Security

Host-Based Security Function Isolation

END-16.1

Mechanisms exist to implement underlying software separation mechanisms to facilitate security function isolation.

- Windows Defender Device Guard

null

Does the organization implement underlying software separation mechanisms to facilitate security function isolation?

7

Protect

null

X

There is no evidence of a capability to implement underlying software separation mechanisms to facilitate security function isolation.

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.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement underlying software separation mechanisms to facilitate security function isolation.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement underlying software separation mechanisms to facilitate security function isolation.

null

SC-7(12)

null

SC-7(12)

null

SC-7(12)

null

1.4

2.2.3

null

2.2.3

null

2.2.3

null

2.2.3

null

N.2.1

null

SC-7(12)

null

SC-7(12)

null

SC-7(12)

null

SC-7(12)

null

SC-7(12)

null

SC-7(12)

null

SC-7(12)

null

SC-7(12)

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Human Resources Security Management

HRS-01

Mechanisms exist to facilitate the implementation of personnel security controls.

null

Does the organization facilitate the implementation of personnel security controls?

10

Protect

X

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

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel establishes redundancy for vital cybersecurity & data privacy staff.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for personnel management. • 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 personnel management. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including HR practices. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

Human Resources Security (HRS) 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 personnel security controls.

CC1.1 CC1.4 CC1.5

CC1.1-POF3 CC1.2-POF1 CC1.2-POF2 CC1.2-POF3 CC1.2-POF4 CC1.4-POF1 CC1.4-POF2 CC1.4-POF3 CC1.5-POF2 CC1.5-POF3 CC1.5-POF4 CC1.5-POF5 CC2.2-POF3 CC2.3-POF4 CC3.3-POF1 CC3.3-POF2 CC3.3-POF3 CC3.3-POF4 CC3.3-POF5

6

null

APO07.01 APO07.04 APO07.05 APO07.06

Principle 1 Principle 4 Principle 5

HRS-01 HRS-02 HRS-03 HRS-04

null

SO7 SO8

null

RQ-05-06

8.4.2.1

null

7.3 7.3(a) 7.3(b) 7.3(c) 7.2(d)

null

5.4

null

OR-3.0 PS-2.0

Sec 4(D)(2)(b)

GOVERN 4.1

PR.PO-P9

null

PS-1

null

PS-1

null

PS-1

3.2.4

PS-1

NFO - PS-1

3.15.3.a 3.15.3.c

3.2.2[a] 3.2.2[b] 3.2.2[c] 3.9.2[a]

null

PR.IP-11

GV.RR-02 GV.RR-03 GV.RR-04 PR.AA

null

12.2 12.2.1 12.7 12.7.1

null

12.2.1

null

12.2.1 12.7.1

null

C.4

5.1 5.3A

2.1.1 7.1.2 8.4.3

null

HRM:SG3.SP4

null

5.12

null

PS-1

null

PS-1

null

D1.R.St.E.4

null

314.4(e)(2)

null

3.S.A

null

PS-1 2.C.3

120.15 120.16 120.39 120.40 120.41

null

8-307

2.1 13.1

null

PS-1

null

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

null

PS-1

null

3.3.2(15)

null

Art 32.1 Art 32.2 Art 32.4

Article 21.2(i)

null

Sec 14 Sec 15

Art 16

null

19.1

null

1-5 2-5

TPC-6 TPC-71

3.3.1

1-9-1 1-9-6 2-6-4

1-7 1-7-2 1-8

null

Sec 19 Sec 20

null

B6.a

null

Article 21

4.5.2 4.5.2.1 4.5.2.2 4.5.2.3 4.5.2.4 4.5.2.5 4.5.2.6 4.5.2.7 4.5.2.8

null

6.1

9.2.10.C.01 9.2.11.C.01 9.2.11.C.02 14.3.5.C.01 15.1.7.C.01

null

3.5.1 3.5.2

null

5.13

null

1.5

null

x

NAIC

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Human Resources Security

Position Categorization

HRS-02

Mechanisms exist to manage personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions.

null

E-HRS-01 E-HRS-02 E-HRS-03 E-HRS-04 E-HRS-11 E-HRS-22

Does the organization manage personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions?

8

Identify

null

X

null

There is no evidence of a capability to manage personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions.

CC1.2

CC1.2-POF1 CC1.2-POF2 CC1.2-POF3 CC1.2-POF4

null

Principle 2

null

7.2(a)

null

6.1.1

null

PS-2

null

PS-2

null

PS-2

null

12.4 12.4.1

12.7 12.7.1

null

12.7.1

null

E.1.3.4

5.1

2.1.1 7.1.2

null

ASSET-5.E.MIL3 THREAT-3.E.MIL3 RISK-5.E.MIL3 ACCESS-4.E.MIL3 SITUATION-4.E.MIL3 RESPONSE-5.E.MIL3 THIRD-PARTIES-3.E.MIL3 WORKFORCE-4.E.MIL3 ARCHITECTURE-5.E.MIL3 PROGRAM-3.E.MIL3

null

PS-2

null

PS-2

null

PS-2

null

8-307

null

PS-2

null

3.3.2(15)

null

19.1

null

1-5-1-2

TPC-26

null

1-9-2

null

Principle 5.1

null

6.1.1.13.PB 6.1.3.13.PB

null

1.8

9.2.10.C.01 9.2.10.C.02 9.2.11.C.01 9.2.11.C.02

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Users With Elevated Privileges

HRS-02.1

Mechanisms exist to ensure that every user accessing a system that processes, stores, or transmits sensitive information is cleared and regularly trained to handle the information in question.

null

E-HRS-02 E-HRS-03 E-HRS-04 E-HRS-11 E-HRS-22

Does the organization ensure that every user accessing a system that processes, stores, or transmits sensitive information is cleared and regularly trained to handle the information in question?

10

Identify

null

X

null

There is no evidence of a capability to ensure that every user accessing a system that processes, stores, or transmits sensitive information is cleared and regularly trained to handle the information in question.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes evaluate individual-specific risk for individuals requiring elevated privileges or access to sensitive/regulated data.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes evaluate individual-specific risk for individuals requiring elevated privileges or access to sensitive/regulated data.

Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that every user accessing a system that processes, stores, or transmits sensitive information is cleared and regularly trained to handle the information in question.

CC1.4

null

Principle 4

null

SO3

null

12.7 12.7.1

null

12.7.1

null

L.5.3

5.3A

2.1.1 7.1.2

null

ASSET-5.E.MIL3 THREAT-3.E.MIL3 RISK-5.E.MIL3 ACCESS-4.E.MIL3 SITUATION-4.E.MIL3 RESPONSE-5.E.MIL3 THIRD-PARTIES-3.E.MIL3 WORKFORCE-4.E.MIL3 ARCHITECTURE-5.E.MIL3 PROGRAM-3.E.MIL3

null

120.15 120.16 120.39 120.40 120.41

null

2.3

null

Principle 5.1

null

3.5.2 6.1.5

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Probationary Periods

HRS-02.2

Mechanisms exist to identify newly onboarded personnel for enhanced monitoring during their probationary period.

null

Does the organization identify newly onboarded personnel for enhanced monitoring during their probationary period?

1

Detect

null

X

null

There is no evidence of a capability to identify newly onboarded personnel for enhanced monitoring during their probationary period.

SP-CMM1 is N/A, since a structured process is required to identify newly onboarded personnel for enhanced monitoring during their probationary period.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify newly onboarded personnel for enhanced monitoring during their probationary period.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify newly onboarded personnel for enhanced monitoring during their probationary period.

null

CC1.4-POF2 CC1.4-POF3

null

SI-4(21)

null

SI-4(21)

null

E.3

null

4.5.2 4.5.2.5

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Roles & Responsibilities

HRS-03

Mechanisms exist to define cybersecurity responsibilities for all personnel.

- NIST NICE framework - RACI diagram

E-HRS-01 E-HRS-02 E-HRS-03 E-HRS-04 E-HRS-11 E-HRS-13 E-HRS-18 E-HRS-22

Does the organization define cybersecurity responsibilities for all personnel?

10

Identify

X

null

There is no evidence of a capability to define cybersecurity responsibilities for all personnel.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) 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 cybersecurity responsibilities for all personnel.

CC1.2 CC1.3 CC2.2

CC1.2-POF1 CC1.3-POF3 CC1.3-POF4 CC1.3-POF5 CC2.2-POF5 CC5.3-POF2 CC7.4-POF1

null

DSS06.03

Principle 2 Principle 3 Principle 14

CEK-02 GRC-06 HRS-09 STA-04

IAM-16

SO3

null

CR 2.1 (6.3.3(2))

RQ-05-03 RQ-06-04

8.4.2.1 8.4.2.2 8.4.2.3 8.4.2.4

null

7.3 7.3(b)

6.1.1 7.2

5.2

6.1.1 7.2

null

6.3 6.3.1 6.3.1.1 6.4.2

null

GOVERN 2.0 GOVERN 2.1

ID.IM-P2 GV.PO-P2 GV.PO-P3 CM.PO-P2

PO.2.1

null

PM-13

null

PM-13 PS-9

null

PS-9

PM-13

null

PS-9

null

PM-13

null

PM-13

null

3.15.3.a

null

PO.2 PO.2.1 PO.2.2 PO.2.3

ID.AM-6 ID.GV-2 DE.DP-1

GV.RR-02

null

12.4 12.4.1

1.1.2 2.1.2 3.1.2 3.7.8 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 A3.1.3

null

1.1.2 2.1.2 3.1.2 3.7.8 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 A3.1.3

12.1.3

G.1.1

null

2.1.1 7.1.2

null

ASSET-5.E.MIL3 THREAT-3.E.MIL3 RISK-5.E.MIL3 ACCESS-4.E.MIL3 SITUATION-4.E.MIL3 RESPONSE-5.E.MIL3 THIRD-PARTIES-3.E.MIL3 WORKFORCE-3.A.MIL1 WORKFORCE-3.B.MIL1 WORKFORCE-3.C.MIL2 WORKFORCE-3.D.MIL2 WORKFORCE-3.E.MIL3 WORKFORCE-3.F.MIL3 WORKFORCE-4.E.MIL3 ARCHITECTURE-5.E.MIL3 PROGRAM-3.E.MIL3

EF:SG2.SP2 GG2.GP4 HRM:SG3.SP1 OTA:SG3.SP2

null

PM-13

null

PS-9

null

164.308(a)(2)

null

PS-9

null

8-103 8-307

null

5.7

null

3.3.1(12) 3.3.2(15)

Art 5.2(c)

null

PSS-08

null

4.13 18.10

null

TPC-26

3.1.4

null

1-2 1-2-1 1-2-1-1

null

6.4 [ORG.4] 8.2.1 [MP.PER.1] 8.2.2 [MP.PER.2]

null

A1.b C1.e

null

0717

null

14

Article 27

null

Article 21

4.3.1 4.3.1.1 6.1.1 6.1.1.13.PB 6.1.3.13.PB 7.2

null

1.8

3.3.4.C.01 3.3.4.C.02 3.3.4.C.03 3.3.4.C.04 3.3.4.C.05 3.3.5.C.01 3.3.5.C.02 3.3.6.C.01 3.3.6.C.02 3.3.6.C.03 3.3.6.C.04 3.3.6.C.05 3.3.6.C.06 3.3.7.C.01 3.3.8.C.01 3.3.8.C.02 3.3.8.C.03 3.3.8.C.04 3.3.8.C.05 3.3.9.C.01 3.3.10.C.01 3.3.10.C.02 3.3.10.C.03 3.3.10.C.04 3.3.11.C.01 3.3.12.C.01 3.3.13.C.01 3.3.13.C.02 3.3.14.C.01 3.3.14.C.02 3.3.14.C.03 3.3.15.C.01 3.4.10.C.01 3.4.10.C.02

null

1.2

null

Art 12

null

x

null

x

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

User Awareness

HRS-03.1

Mechanisms exist to communicate with users about their roles and responsibilities to maintain a safe and secure working environment.

null

E-HRS-01 E-HRS-13 E-HRS-16 E-HRS-18

Does the organization communicate with users about their roles and responsibilities to maintain a safe and secure working environment?

9

Identify

null

X

null

There is no evidence of a capability to communicate with users about their roles and responsibilities to maintain a safe and secure working environment.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes formally educate users about their duties to protect sensitive/regulated data.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes formally educate users about their duties to protect sensitive/regulated data, which includes ensuring personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.

Human Resources Security (HRS) 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 communicate with users about their roles and responsibilities to maintain a safe and secure working environment.

CC1.4

null

Principle 4

null

7.3 7.3(a) 7.3(b) 7.3(c)

null

GOVERN 4.1

GV.PO-P2

null

3.15.3.a 3.15.3.b

null

1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.6.3

null

12.1.3

null

1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.6.3

12.1.3

O.35

null

WORKFORCE-1.E.MIL2 WORKFORCE-2.A.MIL1 WORKFORCE-2.B.MIL2 WORKFORCE-2.C.MIL2 WORKFORCE-2.D.MIL2 WORKFORCE-2.E.MIL3 WORKFORCE-2.F.MIL3 WORKFORCE-2.G.MIL3

null

2.1

null

B6.a

null

0824

null

4.5.2 4.5.2.1 4.5.2.2 4.5.2.3 4.5.2.4 4.5.2.5 4.5.2.6 4.5.2.7 4.5.2.8

null

x

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Competency Requirements for Security-Related Positions

HRS-03.2

Mechanisms exist to ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set.

null

E-HRS-21 E-HRS-23

Does the organization ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set?

9

Identify

null

X

null

There is no evidence of a capability to ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set.

SP-CMM1 is N/A, since a structured process is required to ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

Human Resources Security (HRS) 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 all security-related positions are staffed by qualified individuals who have the necessary skill set.

CC1.2 CC1.3 CC1.5 CC5.3

CC1.2-POF2 CC1.2-POF4 CC1.4-POF2 CC1.4-POF6 CC5.3-POF5

null

APO01.08

Principle 2 Principle 3 Principle 5 Principle 12

null

SO6

null

RQ-05-07

7.2

7.2 7.2(a) 7.2(b) 7.2(c) 7.2(d)

null

GOVERN 4.1 MAP 1.2 MAP 3.4

null

PS-2

null

PS-2

null

PS-2

null

3.7.6.d

null

PO.2 PO.2.1 PO.2.2 PO.2.3

null

6.2.2

null

6.2.2

null

6.2.2

null

6.2.2

null

E.1.5

null

2.1.1 7.1.2

null

ASSET-5.E.MIL3 THREAT-3.E.MIL3 RISK-5.E.MIL3 ACCESS-4.E.MIL3 SITUATION-4.E.MIL3 RESPONSE-5.E.MIL3 THIRD-PARTIES-3.E.MIL3 WORKFORCE-4.E.MIL3

HRM:SG1.SP1

null

PS-2

null

§ 11.10 § 11.10(i)

PS-2

null

314.4(e)(2)

null

120.15 120.16 120.39 120.40 120.41

null

8-307

2.3

null

PS-2

null

TPC-26

null

1-9-2

null

B4.c

null

4.5.2 4.5.2.1 4.5.2.2 4.5.2.3 4.5.2.4 4.5.2.5 4.5.2.6

null

5.1.14.C.01

null

3.5.1 6.1.5

null

1.5 1.7

null

x

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Personnel Screening

HRS-04

Mechanisms exist to manage personnel security risk by screening individuals prior to authorizing access.

- Criminal, education and employment background checks

E-HRS-17 E-HRS-21

Does the organization manage personnel security risk by screening individuals prior to authorizing access?

10

Identify

null

X

There is no evidence of a capability to manage personnel security risk by screening individuals prior to authorizing access.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes evaluate personnel security risk by screening individuals prior to authorizing access.

Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage personnel security risk by screening individuals prior to authorizing access.

CC1.4

CC1.4-POF5

null

Principle 4

HRS-01

null

SO5

null

7.2(b) 7.2(c)

7.1 7.1.1

6.1

7.1 7.1.1

null

6.4 6.4.1 6.4.1.1

null

OR-3.0 OR-3.1

null

PS-3

null

PS-3

null

PS-3

null

PS-3

null

PS-3

3.9.1

3.9.1.a 3.9.1.b

3.9.1

A.03.09.01.a A.03.09.01.b A.03.09.01.ODP[01]

3.9.1e

null

PR.AA-02

null

12.7

12.7 12.7.1

null

12.7.1

null

E.1.3

5.3A

2.1.1

null

WORKFORCE-1.A.MIL1 WORKFORCE-1.F.MIL3

null

5.12.1

null

PS.L2-3.9.1

PS.L2-3.9.1 TBD - 3.9.1e

null

PS.L2-3.9.1

PS-3

null

PS-3

null

2.C.3 2.C.3.1 PS-3

120.15 120.16 120.39 120.40 120.41

null

8-103 8-104 8-307

13.1

null

PS-3

null

PS-3

null

Art 32.1 Art 32.2 Art 32.4

null

HR-01

null

19.2

null

1-5-1-1

null

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

1-7-1

null

Sec 19 Sec 20

null

0434

null

7.1.1

null

3.5.2

null

5.13

null

1.6

null

x

null

x

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Roles With Special Protection Measures

HRS-04.1

Mechanisms exist to ensure that individuals accessing a system that stores, transmits or processes information requiring special protection satisfy organization-defined personnel screening criteria.

- Security clearances for classified information.

E-HRS-17 E-HRS-21

Does the organization ensure that individuals accessing a system that stores, transmits or processes information requiring special protection satisfy organization-defined personnel screening criteria?

9

Identify

null

X

null

There is no evidence of a capability to ensure that individuals accessing a system that stores, transmits or processes information requiring special protection satisfy organization-defined personnel screening criteria.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes evaluate personnel security risk by screening individuals prior to authorizing access.

Human Resources Security (HRS) 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 individuals accessing a system that stores, transmits or processes information requiring special protection satisfy organization-defined personnel screening criteria.

CC1.4

null

DSS06.03

Principle 4

null

SO5

null

5.2 6.1

null

OR-3.0 OR-3.1

null

GOVERN 2.0 GOVERN 4.1

ID.IM-P2 CM.PO-P2

null

PS-3(1) PS-3(3)

null

PS-3(1) PS-3(3)

null

PS-3(1) PS-3(3)

null

3.9.1.a 3.9.1.b

null

3.9.2e

PO.2 PO.2.1 PO.2.2 PO.2.3

null

PR.AA-02

null

12.7 12.7.1

null

12.7.1

null

E.1.3

5.1 5.3A

null

WORKFORCE-1.F.MIL3

null

TBD - 3.9.2e

null

PS.L3-3.9.2e

null

PS-3(3)

null

PS-3(3)

null

PS-3(3)

null

PS-3(3)

null

314.4(e)(2)

null

120.15 120.16 120.39 120.40 120.41

CIP-004-6 R3

null

2.4 13.1

null

HR-01 PSS-08

null

19.2

null

TPC-26

null

1-9-3-2

1-7-1

null

B4.c

null

0446 0447

null

Article 27

null

3.5.2

null

1.6

null

x

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Formal Indoctrination

HRS-04.2

Mechanisms exist to verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system.

null

E-HRS-18

Does the organization verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system?

7

Identify

null

X

null

There is no evidence of a capability to verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system.

SP-CMM1 is N/A, since a structured process is required to verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

Human Resources Security (HRS) 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 verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system.

CC1.4

null

Principle 4

null

7.3 7.3(a) 7.3(b) 7.3(c)

null

5.4

null

OR-3.1

null

PS-3(2)

null

PS-3(2)

null

PS-3(2)

null

3.15.3.a 3.15.3.c

null

E.1.3

null

2.1.2 2.1.3

null

WORKFORCE-1.E.MIL2

null

2.1

null

TPC-26 TPC-71

null

1-9-4 1-9-4-1

1-8

null

B6.a

null

0435

null

4.5.2 4.5.2.8

null

9.1.7.C.01

null

x

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Citizenship Requirements

HRS-04.3

Mechanisms exist to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/or contractual requirements for citizenship.

null

Does the organization verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/or contractual requirements for citizenship?

5

Identify

null

X

null

There is no evidence of a capability to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.

SP-CMM1 is N/A, since a structured process is required to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.

SP-CMM2 is N/A, since a well-defined process is required to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • HR ensures citizenship requirements are addressed per applicable statutory, regulatory and contractual requirements.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.

null

PS-3(4)

null

PS-3(4)

null

E.1.3

null

1-5-1-2

null

0420 0409 0411 0446 0447 1773

null

9.2.10.C.01 9.2.10.C.02 9.2.11.C.01 9.2.11.C.02 9.2.15.C.01 9.2.15.C.02 9.2.16.C.01

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Citizenship Identification

HRS-04.4

Mechanisms exist to identify foreign nationals, including by their specific citizenship.

null

Does the organization identify foreign nationals, including by their specific citizenship?

3

Identify

null

X

There is no evidence of a capability to identify foreign nationals, including by their specific citizenship.

SP-CMM1 is N/A, since a structured process is required to identify foreign nationals, including by their specific citizenship.

SP-CMM2 is N/A, since a well-defined process is required to identify foreign nationals, including by their specific citizenship.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify foreign nationals, including by their specific citizenship.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify foreign nationals, including by their specific citizenship.

null

E.1

null

0420

null

9.2.15.C.01 9.2.15.C.02 9.2.16.C.01 16.1.39.C.01 16.1.39.C.02

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Terms of Employment

HRS-05

Mechanisms exist to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

- Acceptable Use Policy (AUP) - Rules of behavior

E-HRS-16 E-HRS-22

Does the organization require all employees and contractors to apply cybersecurity & data privacy principles in their daily work?

10

Identify

null

X

null

There is no evidence of a capability to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

SP-CMM1 is N/A, since a structured process is required to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with a GRC function, defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

CC1.1

null

Principle 1

HRS-02 HRS-03

null

7.3 7.3(a) 7.3(b) 7.3(c)

7.1.2 7.2 7.2.1 13.2.1

5.4 5.14 6.2

7.1.2 7.2 7.2.1 13.2.1

null

6.4.1.2 6.4.2.1

null

OR-3.0 OR-3.1 PS-2.0

null

PL-4

null

PL-4

null

NFO - PL-4

3.15.3.a 3.15.3.b 3.15.3.c

null

GV.RR-02

null

12.1.3 12.2 12.2.1

null

12.1.3

12.1.3 12.2.1

null

12.1.3 12.2.1

12.1.3

E.1.4.1

null

2.1.2 2.1.3 2.1.4

null

WORKFORCE-1.E.MIL2

HRM:SG2.SP2

null

2.4

null

5.11

null

HR-02 HR-03 AM-05

null

5.1 19.3 19.4

null

2-5

TPC-26

null

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

null

8.2.2 [MP.PER.2]

null

B6.a

null

4.5.2 4.5.2.8 7.1.2 7.2.1 13.2.1

null

3.5.4.C.01 3.5.4.C.02 3.5.4.C.03 5.5.7.C.01 8.1.12.C.01 9.3.7.C.01 9.3.7.C.02 9.3.7.C.03 9.3.7.C.04 9.3.8.C.01 9.3.8.C.02 9.3.8.C.03

null

x

null

x

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Rules of Behavior

HRS-05.1

Mechanisms exist to define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.

- Acceptable Use Policy (AUP) - Rules of behavior

E-HRS-22

Does the organization define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior?

10

Identify

X

There is no evidence of a capability to define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Rules of behavior reflect the organization's corporate culture and risk threshold.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.

CC1.1

CC1.1-POF2

null

9.4

null

9.4

null

Principle 1

HRS-02

SAP-05

null

7.3 7.3(a) 7.3(b) 7.3(c)

7.2 7.2.1 8.1.3 13.2.1

5.4 5.10 5.14 6.2

7.2 7.2.1 8.1.3 13.2.1

null

6.4.2.1 6.5.1.3

null

OR-1.1

null

GOVERN 2.0 GOVERN 4.1

null

PL-4

null

PL-4

null

PL-4

null

PL-4

NFO - PL-4

3.15.3.a 3.15.3.b 3.15.3.c

null

A.03.15.03.a[01] A.03.15.03.a[02] A.03.15.03.b A.03.15.03.c[01] A.03.15.03.c[02]

null

GV.RR-02

null

4.2 12.3 12.3.1 12.3.2 12.3.5 12.3.6 12.3.10 12.4

12.1.3 12.2 12.2.1

null

12.1.3

12.1.3 12.2.1

null

12.1.3 12.2.1

12.1.3

E.1.7

null

2.1.2 2.1.3 2.1.4 8.2.6 8.2.7 8.4.3

null

WORKFORCE-1.E.MIL2

AM:SG1.SP1 HRM:SG2.SP2

null

AC.L1-b.1.iv

null

PL-4

null

52.204-21(b)(1)(iv)

null

§ 11.10 § 11.10(d) § 11.10(j)

PL-4 PL-4(1)

PL-4

PL-4 PL-4(1)

PL-4

PL-4 PL-4(1)

PL-4

PL-4 PL-4(1)

PL-4

null

164.310(b)

10.S.A

null

PL-4

null

8-103

2.4

null

5.10

PL-4

PL-4 PL-4(1)

null

17.03(2)(b)(2)

null

PL-4

null

§ 2447(b)(2)(B)

null

HR-03

null

5.1 15.6 19.3 19.6

null

2-5

TPC-1 TPC-8 TPC-9

null

1-9-3-1 1-9-4-2 2-1-3 2-1-4 2-15-3-4

null

B6.a

null

1146 0824 0258

null

Article 21

4.5.2 4.5.2.8 7.2.1 8.1.3 13.2.1

null

3.5.4.C.01 3.5.4.C.02 3.5.4.C.03 5.5.7.C.01 8.1.12.C.01 9.1.8.C.01 9.3.7.C.01 9.3.7.C.02 9.3.7.C.03 9.3.7.C.04 9.3.8.C.01 9.3.8.C.02 9.3.8.C.03 14.3.5.C.01 15.1.7.C.01 21.1.22.C.01 21.1.22.C.02

null

x

FAR 52.204-21 MA 201 CMR 17

null

x

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

R-AC-1

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Social Media & Social Networking Restrictions

HRS-05.2

Mechanisms exist to define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information.

- Acceptable Use Policy (AUP) - Rules of behavior

E-HRS-22

Does the organization define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information?

9

Identify

X

null

There is no evidence of a capability to define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Rules of behavior contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information.

null

9.0

null

HRS-02

null

7.3 7.3(a) 7.3(b) 7.3(c)

8.1.3

5.4 5.10 6.2

8.1.3

null

OR-1.1

null

PL-4(1)

null

PL-4(1)

null

PL-4(1)

null

NFO - PL-4(1)

3.15.3.a 3.15.3.b 3.15.3.c

null

GV.RR-02

null

L.21

null

2.1.2 2.1.3

null

WORKFORCE-1.E.MIL2

null

AC.L1-b.1.iv

null

PL-4(1)

null

52.204-21(b)(1)(iv)

null

PL-4(1)

null

PL-4(1)

null

PL-4(1)

null

PL-4(1)

120.11

null

PL-4(1)

null

PL-4(1)

null

4.13 19.6 19.7

null

1-9-4-2

null

B6.a

null

0820 0821

null

4.5.2 4.5.2.8 8.1.3

null

9.3.7.C.01 9.3.7.C.02 9.3.7.C.03 9.3.7.C.04 9.3.8.C.01 9.3.8.C.02 9.3.8.C.03

null

FAR 52.204-21

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Use of Communications Technology

HRS-05.3

Mechanisms exist to establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously.

- Acceptable Use Policy (AUP) - Rules of behavior

E-HRS-22

Does the organization establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously?

10

Identify

null

X

There is no evidence of a capability to establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Rules of behavior affecting the use of communications technologies reflects the organization's corporate culture and risk threshold.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously.

null

9.4

null

9.4

null

HRS-02

SAP-05

null

7.3 7.3(a) 7.3(b) 7.3(c)

8.1.3

5.4 5.10 6.2

8.1.3

null

OR-1.1

null

SC-19

null

SC-19

PL-4

null

PL-4

null

PL-4

null

PL-4

null

3.15.3.a 3.15.3.b 3.15.3.c

null

GV.RR-02

null

12.2 12.2.1

null

12.2.1

null

12.2.1

null

D.2

null

2.1.2 2.1.3 2.1.4

null

WORKFORCE-1.E.MIL2

null

5.10.1.4 5.10.2

null

SC-19 SC-ACA-1 SC-ACA-2

null

SC-19

null

SC-19

null

PL-4

null

8-700

null

SC-19

null

PL-4

null

SC-19

null

5.4 9.5 15.6 19.6

null

2-5

TPC-8 TPC-9

null

1-9-4-2 2-1-3 2-6-4 2-15-3-4

null

B6.a

null

0824 1078 0229 0230 0233 0235 0236 0931 1562 0588 1092 0241 1075 1196 1200 1198 1199

null

4.5.2 4.5.2.8 8.1.3

null

9.3.4.C.01 9.3.5.C.01 9.3.5.C.02 9.3.9.C.01 9.3.10.C.01 15.1.7.C.01 21.1.22.C.01 21.1.22.C.02

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Use of Critical Technologies

HRS-05.4

Mechanisms exist to govern usage policies for critical technologies.

null

E-HRS-22

Does the organization govern usage policies for critical technologies?

9

Identify

null

X

There is no evidence of a capability to govern usage policies for critical technologies.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Rules of behavior affecting the use of critical technologies reflects the organization's corporate culture and risk threshold.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern usage policies for critical technologies.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern usage policies for critical technologies.

null

HRS-02

SAP-05

null

7.3 7.3(a) 7.3(b) 7.3(c)

8.1.3

null

8.1.3

null

OR-1.1

null

GOVERN 2.0 GOVERN 4.1

ID.BE-P3

null

3.15.3.a 3.15.3.b 3.15.3.c

null

GV.RR-02

null

12.3 12.3.1 12.3.2 12.3.3 12.3.4 12.3.5 12.3.6 12.3.7 12.3.8 12.3.9 12.3.10

12.2 12.2.1

null

12.2.1

null

12.2.1

null

D.2

null

2.1.2 2.1.3 2.1.4

null

WORKFORCE-1.E.MIL2

null

15.6 19.6

null

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

null

B6.a

null

4.5.2 4.5.2.8

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Use of Mobile Devices

HRS-05.5

Mechanisms exist to manage business risks associated with permitting mobile device access to organizational resources.

- Acceptable Use Policy (AUP) - Rules of behavior - BYOD policy

E-HRS-22

Does the organization manage business risks associated with permitting mobile device access to organizational resources?

9

Identify

null

X

There is no evidence of a capability to manage business risks associated with permitting mobile device access to organizational resources.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to manage business risks associated with permitting mobile device access to organizational resources.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage business risks associated with permitting mobile device access to organizational resources.

null

HRS-02

SAP-05

null

7.3 7.3(a) 7.3(b) 7.3(c)

8.1.3

6.2

8.1.3

null

OR-1.1

null

3.15.3.a 3.15.3.b 3.15.3.c

null

GV.RR-02

null

M.1.15

null

2.1.2 2.1.3 2.1.4 8.2.6 8.2.7

null

WORKFORCE-1.E.MIL2

null

AM-05

null

13.2 13.3 13.7 13.10 15.6 19.6

null

1-9-4-2

null

B6.a

null

0229 0230 1082 1196 1200 1198 1199 1366 0874 0705 1083 0240 0866 1145 0871 0870 1084 0701 0702

null

4.5.2 4.5.2.8 8.1.3

null

8.1.12.C.01 11.4.9.C.01 11.4.10.C.01 11.4.10.C.02 11.4.11.C.01 11.4.12.C.01 11.4.12.C.02 11.5.13.C.01 11.5.14.C.01 11.5.14.C.02 11.5.15.C.01 11.5.15.C.02 11.5.16.C.01 11.5.16.C.02 11.5.16.C.03 21.1.11.C.01 21.1.11.C.02 21.1.22.C.01 21.1.22.C.02

null

x

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Security-Minded Dress Code

HRS-05.6

Mechanisms exist to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.

null

Does the organization prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets?

1

Protect

null

X

null

There is no evidence of a capability to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.

SP-CMM1 is N/A, since a structured process is required to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.

SP-CMM2 is N/A, since a well-defined process is required to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • HR ensures a dress code is appropriate for sensitive/regulated data environments.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.

null

PS-2.0

null

F.1

null

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

null

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Policy Familiarization & Acknowledgement

HRS-05.7

Mechanisms exist to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.

null

E-HRS-18 E-SAT-02 E-SAT-04

Does the organization ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement?

8

Identify

null

X

null

There is no evidence of a capability to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.

SP-CMM1 is N/A, since a structured process is required to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • HR maintains evidence of policy acknowledgement.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.

null

7.3 7.3(c)

null

OR-3.1

null

3.15.3.b

null

12.6.3

null

12.6.3

null

P.3.1.1

null

WORKFORCE-1.E.MIL2

null

TPC-26 TPC-71

null

4.5.2 4.5.2.6

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

null

MT-8

MT-9

null

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Access Agreements

HRS-06

Mechanisms exist to require internal and third-party users to sign appropriate access agreements prior to being granted access.

null

E-HRS-16

Does the organization require internal and third-party users to sign appropriate access agreements prior to being granted access?

10

Identify

null

X

There is no evidence of a capability to require internal and third-party users to sign appropriate access agreements prior to being granted access.

SP-CMM1 is N/A, since a structured process is required to require internal and third-party users to sign appropriate access agreements prior to being granted access.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require internal and third-party users to sign appropriate access agreements prior to being granted access.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require internal and third-party users to sign appropriate access agreements prior to being granted access.

CC1.5

null

Principle 5

HRS-07

null

13.2.2

5.10 5.14

13.2.2

null

6.10.2.2

null

OR-3.1 PS-1.1

null

PS-6 PS-6(2)

PS-6

PS-6 PS-6(2)

PS-6

PS-6(2)

null

PS-6

null

PS-6

null

PS-6

NFO - PS-6

3.15.3.b

null

A.03.15.03.b

null

E.1.4.1

null

WORKFORCE-1.E.MIL2

null

PS-6

null

PS-6

null

PS-6

null

8-103 8-104 8-105

2.4

null

PS-6

null

PS-6

null

HR-02

null

19.6

null

TPC-9 TPC-71

null

1-9-3

null

Article 21

13.2.2

null

x

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Confidentiality Agreements

HRS-06.1

Mechanisms exist to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.

- Non-Disclosure Agreements (NDAs)

E-HRS-20

Does the organization require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties?

10

Identify

null

X

There is no evidence of a capability to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.

SP-CMM1 is N/A, since a structured process is required to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.

CC1.5

null

Principle 5

HRS-07 HRS-10

null

13.2.2 13.2.4

5.14 6.6

13.2.2 13.2.4

null

OR-3.1 PS-1.1

null

PS-6 PS-6(2)

PS-6

PS-6 PS-6(2)

PS-6

PS-6(2)

null

PS-6

null

PS-6

null

PS-6

null

3.15.3.b

null

E.1.4.3

null

6.1.2 8.2.1 8.2.6 8.2.7

null

PS-6

null

PS-6

null

PS-6

null

8-103 8-104 8-105

13.2

null

PS-6

null

6-1-1305(3)(a)

null

PS-6

null

HR-06 IDM-08 PSS-07

null

19.4

null

TPC-9 TPC-71

null

1-9-3-1

null

Article 21

13.2.2 13.2.4

null

9.1.8.C.01

null

x

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Post-Employment Obligations

HRS-06.2

Mechanisms exist to notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information.

null

E-HRS-19

Does the organization notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information?

5

Protect

null

X

null

There is no evidence of a capability to notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes govern third-party personnel by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes govern third-party personnel by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information.

null

OR-3.1

null

PS-6(3)

null

PS-6(3)

null

PS-6(3)

null

E.2.1

null

HRM:SG4.SP3

null

PS-6(3)

null

13.2

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Personnel Sanctions

HRS-07

Mechanisms exist to sanction personnel failing to comply with established security policies, standards and procedures.

null

Does the organization sanction personnel failing to comply with established security policies, standards and procedures?

9

Respond

X

null

There is no evidence of a capability to sanction personnel failing to comply with established security policies, standards and procedures.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to sanction personnel failing to comply with established security policies, standards and procedures.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to sanction personnel failing to comply with established security policies, standards and procedures.

CC1.5

CC1.5-POF5 CC7.4-POF13

null

Principle 5

null

SO8

null

7.2.3 7.3

6.4

7.2.3 7.3

null

6.4.2.3

null

OR-3.1

null

PS-8

null

PS-8

null

PS-8

null

NFO - PS-8

null

3.9.2[a] 3.9.2[b] 3.9.2[c]

null

3.9.2e

null

E.1.7

null

WORKFORCE-1.B.MIL1 WORKFORCE-1.C.MIL2 WORKFORCE-1.G.MIL3

HRM:SG3.SP4

null

4.2.5.2 5.12.4

null

TBD - 3.9.2e

null

PS.L3-3.9.2e

PS-8

null

PS-8

null

164.308(a)(1)(ii)(C) 164.530(e) 164.530(e)(1) 164.530(e)(2)

null

2.C.4 2.C.4.2 PS-8

null

1-304

13.3

null

5.3

PS-8

null

17.03(2)(d)

null

PS-8

null

§ 2447(b)(4)

null

HR-04

null

19.8

null

4.5.2 4.5.2.8 7.2.3

null

x

MA 201 CMR 17

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Workplace Investigations

HRS-07.1

Mechanisms exist to conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated.

null

Does the organization conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated?

8

Respond

X

null

There is no evidence of a capability to conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated.

CC1.1 CC1.5

CC2.2-POF3 CC2.3-POF4

null

Principle 1 Principle 5

null

6.4

null

OR-3.1 PS-2.0

null

3.9.2e

null

E.3

null

HRM:SG4.SP3

null

TBD - 3.9.2e

null

PS.L3-3.9.2e

null

FACTA

null

5.3

null

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

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Personnel Transfer

HRS-08

Mechanisms exist to adjust logical and physical access authorizations to systems and facilities upon personnel reassignment or transfer, in a timely manner.

null

Does the organization adjust logical and physical access authorizations to systems and facilities upon personnel reassignment or transfer, in a timely manner?

9

Identify

null

X

null

There is no evidence of a capability to adjust logical and physical access authorizations to systems and facilities up on personnel reassignment or transfer, in a timely manner.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to adjust logical and physical access authorizations to systems and facilities up on personnel reassignment or transfer, in a timely manner.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to adjust logical and physical access authorizations to systems and facilities up on personnel reassignment or transfer, in a timely manner.

CC1.5

null

Principle 5

HRS-06 IAM-07

null

7.3.1

6.5

7.3.1

null

OR-3.1

null

PS-5

null

PS-5

null

PS-5

null

3.9.2

3.9.2.b.1 3.9.2.b.2 3.9.2.b.3

3.9.2[a] 3.9.2[b] 3.9.2[c]

A.03.09.02.b.01 A.03.09.02.b.02 A.03.09.02.b.03 A.03.09.02.ODP[02] A.03.09.02.ODP[03]

null

E.2

null

WORKFORCE-1.B.MIL1 WORKFORCE-1.D.MIL2

HRM:SG4.SP1 HRM:SG4.SP2

1.7

5.12.3

null

PS.L2-3.9.2

null

PS.L2-3.9.2

PS-5

null

PS-5

null

3.S.A

null

2.C.4.1 PS-5

null

8-303 5-309

13.2

null

PS-5

null

PS-5

null

HR-05 IDM-04

null

19.9

null

TPC-18

null

0430

null

7.3.1

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

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

Human Resources Security

Personnel Termination

HRS-09

Mechanisms exist to govern the termination of individual employment.

null

E-HRS-19

Does the organization govern the termination of individual employment?

9

Protect

null

X

null

There is no evidence of a capability to govern the termination of individual employment.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes and technologies: o Govern the termination process of individual employment to ensure the confidentiality, integrity, availability and safety of the organizations assets and data are protected. o Adjust logical and physical access authorizations to systems and facilities up on personnel reassignment, transfer or termination, in a timely manner. o Expedite the process of removing a high risk individual’s access to systems and applications up on termination, as determined by management. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern the termination of individual employment.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern the termination of individual employment.

CC1.5

null

Principle 5

HRS-06

null

7.3.1

6.5

7.3.1

null

6.4.3 6.4.3.1

null

OR-3.1

null

PS-4

null

PS-4

null

PS-4

null

3.9.2

3.1.1.f.3 3.9.2.a.1 3.9.2.a.2 3.9.2.a.3

3.9.2[a] 3.9.2[b] 3.9.2[c]

A.03.09.02.a.01 A.03.09.02.a.02 A.03.09.02.a.03 A.03.09.02.ODP[01]

null

8.2.5

null

8.2.5

null

E.2.1

null

WORKFORCE-1.B.MIL1 WORKFORCE-1.D.MIL2

HRM:SG4.SP1 HRM:SG4.SP2

1.7

5.12.3

null

PS.L2-3.9.2

null

PS.L2-3.9.2

PS-4

null

PS-4

null

3.S.A

null

2.C.4.4 PS-4

null

8-303 5-309

13.2

null

PS-4

null

17.03(2)(e)

null

PS-4

null

HR-05

null

19.9 19.10

null

TPC-6 TPC-18

null

0430

null

7.3.1

null

x

MA 201 CMR 17

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

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

Human Resources Security

Asset Collection

HRS-09.1

Mechanisms exist to retrieve organization-owned assets upon termination of an individual's employment.

null

E-HRS-19

Does the organization retrieve organization-owned assets upon termination of an individual's employment?

9

Protect

null

X

null

There is no evidence of a capability to retrieve organization-owned assets up on termination of an individual's employment.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.

Human Resources Security (HRS) 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 retrieve organization-owned assets up on termination of an individual's employment.

CC1.5

null

Principle 5

HRS-05

null

OR-3.1

null

E.2.2

null

HRM:SG4.SP2 HRM:SG4.SP3

null

19.10

null

TPC-18

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

High-Risk Terminations

HRS-09.2

Mechanisms exist to expedite the process of removing "high risk" individual’s access to systems and applications upon termination, as determined by management.

null

E-HRS-19

Does the organization expedite the process of removing "high risk" individual’s access to systems and applications upon termination, as determined by management?

9

Protect

X

null

There is no evidence of a capability to expedite the process of removing "high risk" individual’s access to systems and applications up on termination, as determined by management.

SP-CMM1 is N/A, since a structured process is required to expedite the process of removing "high risk" individual’s access to systems and applications up on termination, as determined by management.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes and technologies: o Adjust logical and physical access authorizations to systems and facilities up on personnel reassignment, transfer or termination, in a timely manner. o Expedite the process of removing a high risk individual’s access to systems and applications up on termination, as determined by management. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.

Human Resources Security (HRS) 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 expedite the process of removing "high risk" individual’s access to systems and applications up on termination, as determined by management.

CC1.5

null

Principle 5

HRS-06 IAM-07

null

OR-3.1

null

AC-2(13)

null

AC-2(13)

null

AC-2(13)

null

3.1.1.f.3 3.9.2.a.1 3.9.2.a.2 3.9.2.a.3

null

3.9.2e

null

8.2.5

null

8.2.5

null

F.1.2.8.1

null

HRM:SG4.SP3

1.7

null

TBD - 3.9.2e

null

PS.L3-3.9.2e

null

AC-2(13)

null

AC-2(13)

null

3.S.A

null

AC-2(13)

null

13.2

null

19.10

null

TPC-6 TPC-18

null

x

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Human Resources Security

Post-Employment Requirements

HRS-09.3

Mechanisms exist to govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.

- Non-Disclosure Agreements (NDAs)

E-HRS-19

Does the organization govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information?

8

Protect

null

X

null

There is no evidence of a capability to govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.

SP-CMM1 is N/A, since a structured process is required to govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes govern third-party personnel by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes govern third-party personnel by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.

Human Resources Security (HRS) 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 govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.

CC1.5

null

Principle 5

null

6.5

null

OR-3.1

null

PS-4(1)

null

PS-4(1)

null

PS-4(1)

null

E.2.1

null

HRM:SG4.SP3

null

13.2

null

19.10

null

TPC-18

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

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

Human Resources Security

Automated Employment Status Notifications

HRS-09.4

Automated mechanisms exist to notify Identity and Access Management (IAM) personnel or roles upon termination of an individual employment or contract.

null

Does the organization use automated mechanisms to notify Identity and Access Management (IAM) personnel or roles upon termination of an individual employment or contract?

5

Protect

null

X

There is no evidence of a capability to notify Identity and Access Management (IAM) personnel or roles up on termination of an individual employment or contract.

SP-CMM1 is N/A, since a structured process is required to notify Identity and Access Management (IAM) personnel or roles up on termination of an individual employment or contract.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.

Human Resources Security (HRS) 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.

Human Resources Security (HRS) 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

PS-4(2)

null

PS-4(2)

null

PS-4(2)

null

PS-4(2)

null

3.1.1.g 3.1.1.g.1 3.1.1.g.2 3.1.1.g.3

null

E.2

null

PS-4(2)

null

PS-4(2)

null

PS-4(2)

null

PS-4(2)

null

TPC-6

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Human Resources Security

Third-Party Personnel Security

HRS-10

Mechanisms exist to govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.

- Independent background check service

E-HRS-16 E-HRS-18 E-HRS-22

Does the organization govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities?

10

Identify

null

X

null

There is no evidence of a capability to govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.

SP-CMM1 is N/A, since a structured process is required to govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.

Human Resources Security (HRS) 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 govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.

CC5.3

null

Principle 12

null

OR-3.1

null

PS-7

null

PS-7

null

PS-7

null

PS-7

null

PS-7

null

NFO - PS-7

null

B.1.1.2.2

5.3A

null

AM:SG1.SP1 OPD:SG1.SP6

null

PS-7

null

PS-7

null

1.9.3 PS-7

null

8-304

13.1

null

PS-7

null

PS-7

null

19.5

null

1-9-1

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-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

Human Resources Security

Separation of Duties (SoD)

HRS-11

Mechanisms exist to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.

null

E-HRS-25

Does the organization implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion?

7

Protect

null

X

There is no evidence of a capability to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.

SP-CMM1 is N/A, since a structured process is required to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment. • Administrative processes implement and maintain Separation of Duties (SoD) to prevent potential malevolent activity without collusion.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment. • Administrative processes implement and maintain Separation of Duties (SoD) to prevent potential malevolent activity without collusion.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.

CC5.1

CC5.1-POF6

null

Principle 10

IAM-04

null

5.3 5.18

6.1.2

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, T1021.006, T1047, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.008, T1070, T1070.001, T1070.002, T1070.003, T1072, T1078, T1078.001, T1078.002, T1078.003, T1078.004, T1087.004, T1098, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1134, T1134.001, T1134.002, T1134.003, T1134.005, T1136, T1136.001, T1136.002, T1136.003, T1185, T1190, T1197, T1210, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1505.003, T1525, T1528, T1530, T1537, T1538, T1542, T1542.001, T1542.003, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.004, T1547.006, T1547.009, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.006, T1552.007, 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, T1569, T1569.001, T1569.002, T1574, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1606, T1611, T1619

TS-1.0

null

PR.AC-P4

null

AC-5

null

AC-5

null

AC-5

null

AC-5

null

AC-5

null

AC-5

null

AC-5

3.1.4

3.1.4.a 3.1.4.b

3.1.4[a] 3.1.4[b] 3.1.4[c]

A.03.01.04.a A.03.01.04.b

null

6.4.2

6.5.4

null

6.5.4

null

H.2.2

5.1

null

ACCESS-2.E.MIL2

AM:SG1.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3

null

AC.L2-3.1.4

null

AC.L2-3.1.4

AC-5

null

AC-5

null

AC-5

null

AC-5

null

AC-5

null

3.L.C

AC-5

null

8-611

null

5.7

null

III.C.3

null

AC-5

null

AC-5

null

OIS-04 IDM-01

null

4.11 10.4

null

7.2.3 [OP.ACC.3]

null

9.1.1

null

2.5.2

null

x

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Incompatible Roles

HRS-12

Mechanisms exist to avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment.

null

E-HRS-25

Does the organization avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment?

8

Protect

null

X

null

There is no evidence of a capability to avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment. • Administrative processes implement and maintain Separation of Duties (SoD) to prevent potential malevolent activity without collusion.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment. • Administrative processes implement and maintain Separation of Duties (SoD) to prevent potential malevolent activity without collusion.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment.

null

DSS06.03

null

CEK-02

null

6.1.2

5.3

6.1.2

null

6.3.1.2

null

ID.IM-P2

null

3.1.4.a

null

A.03.01.04.a A.03.01.04.b

null

PO.2 PO.2.1

null

I.1.13.2

null

5.7

null

PSS-08

null

Article 27

null

6.1.2

null

x

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Two-Person Rule

HRS-12.1

Mechanisms exist to enforce a two-person rule for implementing changes to sensitive systems.

null

Does the organization enforce a two-person rule for implementing changes to sensitive systems?

7

Protect

null

X

null

There is no evidence of a capability to enforce a two-pers on rule for implementing changes to sensitive systems.

SP-CMM1 is N/A, since a structured process is required to enforce a two-pers on rule for implementing changes to sensitive systems.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes and technologies enforce a two-pers on rule for implementing changes to sensitive/regulated systems.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce a two-pers on rule for implementing changes to sensitive systems.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce a two-pers on rule for implementing changes to sensitive systems.

null

AC-3(2)

null

AC-3(2)

null

AC-3(2)

null

3.1.1e

null

G.2.13

null

TBD - 3.1.1e

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-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

Human Resources Security

Identify Critical Skills & Gaps

HRS-13

Mechanisms exist to evaluate the critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.

null

E-HRS-23 E-HRS-24

Does the organization evaluate the critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist?

5

Protect

X

null

There is no evidence of a capability to evaluate the critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel evaluates the business-critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with cybersecurity personnel evaluates the business-critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, evaluates the business-critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.

Human Resources Security (HRS) 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 evaluate the critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.

null

CC1.4-POF4

null

APO01.08 APO07.03

null

C.6.3

null

WORKFORCE-3.F.MIL3

HRM:SG1.SP2

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Remediate Identified Skills Deficiencies

HRS-13.1

Mechanisms exist to remediate critical skills deficiencies necessary to support the organization’s mission and business functions.

null

E-HRS-24

Does the organization remediate critical skills deficiencies necessary to support the organization’s mission and business functions?

5

Protect

X

null

There is no evidence of a capability to remediate critical skills deficiencies necessary to support the organization’s mission and business functions.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with IT personnel remediates business-critical skills deficiencies necessary to support the organization’s mission and business functions.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, remediates business-critical skills deficiencies necessary to support the organization’s mission and business functions.

Human Resources Security (HRS) 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 remediate critical skills deficiencies necessary to support the organization’s mission and business functions.

null

APO01.08 APO07.03

null

C.6.3

null

WORKFORCE-3.F.MIL3

HRM:SG1.SP3

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Identify Vital Cybersecurity & Data Privacy Staff

HRS-13.2

Mechanisms exist to identify vital cybersecurity & data privacy staff.

null

E-HRS-26

Does the organization identify vital cybersecurity & data privacy staff?

5

Protect

X

null

There is no evidence of a capability to identify vital cybersecurity & data privacy staff.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel identifies vital cybersecurity & data privacy staff.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with IT personnel identifies vital cybersecurity & data privacy staff.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, identifies vital cybersecurity & data privacy staff.

Human Resources Security (HRS) 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 vital cybersecurity & data privacy staff.

null

APO07.02

null

G.1.1

null

WORKFORCE-3.F.MIL3

PM:SG1.SP1

null

8.2.5 [MP.PER.5]

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Establish Redundancy for Vital Cybersecurity & Data Privacy Staff

HRS-13.3

Mechanisms exist to establish redundancy for vital cybersecurity & data privacy staff.

null

Does the organization establish redundancy for vital cybersecurity & data privacy staff?

5

Protect

X

null

There is no evidence of a capability to establish redundancy for vital cybersecurity & data privacy staff.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel remediates business-critical skills deficiencies necessary to support the organization’s mission and business functions.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with IT personnel establishes redundancy for vital cybersecurity & data privacy staff.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, establishes redundancy for vital cybersecurity & data privacy staff.

Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish redundancy for vital cybersecurity & data privacy staff.

null

APO07.03

null

A.2

null

WORKFORCE-3.F.MIL3

PM:SG3.SP1

null

8.2.5 [MP.PER.5]

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Human Resources Security

Perform Succession Planning

HRS-13.4

Mechanisms exist to perform succession planning for vital cybersecurity & data privacy roles.

null

Does the organization perform succession planning for vital cybersecurity & data privacy roles?

5

Protect

X

null

There is no evidence of a capability to perform succession planning for vital cybersecurity & data privacy roles.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel performs succession planning for vital cybersecurity & data privacy roles.

Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel 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 personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with IT personnel performs succession planning for vital cybersecurity & data privacy roles.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, 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 Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o 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. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, performs succession planning for vital cybersecurity & data privacy roles.

Human Resources Security (HRS) 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 succession planning for vital cybersecurity & data privacy roles.

null

CC1.4-POF4

null

APO07.03

null

K.1

null

WORKFORCE-3.F.MIL3

PM:SG3.SP2

null

8.2.5 [MP.PER.5]

null

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

null

R-AC-2

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Identity & Access Management (IAM)

IAC-01

Mechanisms exist to facilitate the implementation of identification and access management controls.

null

Does the organization facilitate the implementation of identification and access management controls?

10

Protect

X

There is no evidence of a capability to facilitate the implementation of identification and access management controls.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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 logical access control practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for logical access control. • 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 logical access control. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including logical access control. • An IT Asset Management (ITAM) function, or similar function: o 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). o Uses a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets configured to perform integrity checking and alert on unauthorized configuration changes. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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 identification and access management controls.

CC6.1

CC6.1-POF2 CC6.1-POF6 CC6.1-POF7

null

5.0 5.6 6.0 6.7

null

5.6 6.7

DSS05.04 DSS06.03

null

IAM-01 IAM-02 IAM-16

CLS-09 IAM-16 IAM-17

SO11

8.2.2

FR 1 (5.1) CR 1.3 (5.5.1)

null

9.1 9.1.1

5.15 5.18

9.1 9.1.1 9.1.2

A.10.10

6.6 6.6.1 6.6.1.1

null

OR-3.1 TS-1.6 TS-1.7

Sec 4(D)(2)(a)

null

PR.AC-P1

null

AC-1 IA-1

AC-1

AC-1 IA-1

null

AC-1 IA-1

null

AC-1 IA-1

AC-1

AC-1 IA-1

NFO - AC-1 NFO- IA-1

3.1.18.b 3.5.1.a 3.5.1.b 3.5.5.a

null

PR.AC-1

PR.AA

A01:2021 A07:2021

8.1.4

7.1 7.2 7.2.1 7.3 7.3.1 7.3.2 7.3.3 8.1 8.2 8.3.3 8.3.8 8.5.1 8.6.1 A3.4

null

8.3.3 8.3.8 8.5.1 8.6.1

null

8.3.3 8.3.8 8.5.1 8.6.1

null

7.2.1 7.3.1 7.3.2 7.3.3 8.3.3 8.3.8 8.5.1 8.6.1

null

H.1

1.2 4.1 5.2

4.1 4.1.1 4.1.2 4.1.3 4.2

8.1 8.6

null

ACCESS-2.A.MIL1 ACCESS-2.C.MIL2

AM:SG1.SP1 HRM:SG4.SP2 ID:SG1.SP3 KIM:SG4.SP2

1.2 1.6

5.5 5.6 5.6.4

null

AC.L1-b.1.i

null

AC-1 IA-1

null

52.204-21(b)(1)(i)

null

§ 11.10 § 11.10(d) § 11.10(g) § 11.100 § 11.100(a) § 11.100(b)

AC-1 IA-1

null

314.4(c)(1) 314.4(c)(1)(i) 314.4(c)(1)(ii)

164.308(a)(4)(i) 164.308(a)(4)(ii)(A) 164.308(a)(4)(ii)(B) 164.308(a)(4)(ii)(C) 164.312(a) 164.312(a)(1)

3.S.A

9.M.C

2.E.6.2 AC-1 IA-1

120.14 120.15 120.16

CIP-004-6 R4

8-101 8-606 8-607

1.1 7.1

6.6

null

5.3 5.6

AC-1 IA-1

III.C

45.48.510

1798.91.04(b) 1798.91.04(b)(1) 1798.91.04(b)(2)

null

500.07

Sec 4(2)(b)(ii)(C)(3)

null

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

null

AC-1 IA-1

null

§ 2447(b)(5) § 2447(c)(1)(A)(iv) § 2447(c)(1)(B)

null

Art 9.4(d)

null

Art 32.1 Art 32.2

Article 21.2(i) Article 21.2(j)

Art 4

null

Sec 14 Sec 15

Art 16

null

6.1 6.2

IDM-01 PSS-05 PSS-09

null

4.1 4.8 4.34 4.37 12.15 12.28 12.29

null

2-2 2-2-1-5

TPC-10

3.3.5

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

2-2 2-2-1

null

Sec 19 Sec 20

null

7.2.2 [OP.ACC.2] 7.2.4 [OP.ACC.4]

null

B2.a B2.d

null

2

null

Principle 5.10

null

1146 1546

null

9.1.1

null

10.1

16.1.31.C.01

null

4.1

9.1.2 9.1.3 9.1.8

null

6.6

null

4.22 4.24

3.2.7

null

x

FAR 52.204-21 NAIC

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Retain Access Records

IAC-01.1

Mechanisms exist to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.

null

Does the organization retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed?

3

Protect

null

X

null

There is no evidence of a capability to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.

SP-CMM1 is N/A, since a structured process is required to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.

null

H.2.4.3

null

0407

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Authenticate, Authorize and Audit (AAA)

IAC-01.2

Mechanisms exist to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).

null

Does the organization strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP)?

9

Protect

null

x

There is no evidence of a capability to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).

SP-CMM1 is N/A, since a structured process is required to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).

null

6.6

null

6.6

null

IA-4 IA-4(4)

null

IA-4

IA-4 IA-4(4)

null

3.5.5.a 3.5.5.b 3.5.5.c 3.5.5.d

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

- New control - Added NIST 800-53 R5 mapping for IA-04 & IA-04(04)

Identification & Authentication

Identification & Authentication for Organizational Users

IAC-02

Mechanisms exist to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users.

null

Does the organization uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users?

9

Protect

X

There is no evidence of a capability to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users.

CC6.1

CC6.1-POF3

null

5.5 5.6 6.7 12.5

null

5.5 5.6 6.7 12.5

DSS05.04

null

IAM-13 IAM-16

null

CR 1.1 (5.3.1) CR 1.1 (5.3.3(1))

null

5.15

null

A.10.10

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, T1036.007, T1040, T1047, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.008, T1072, T1078, T1078.002, T1078.003, T1078.004, T1087.004, T1098, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1114, T1114.002, T1133, T1134, T1134.001, T1134.002, T1134.003, T1136, T1136.001, T1136.002, T1136.003, T1185, T1190, T1197, T1210, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1505.004, T1525, T1528, T1530, T1537, T1538, T1539, T1542, T1542.001, T1542.003, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.004, T1547.006, T1547.009, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.001, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1552.007, T1555.005, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1569, T1569.001, T1569.002, T1574, T1574.005, T1574.010, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1610, T1611, T1613, T1619

TS-1.6

null

PR.AC-P1 PR.AC-P6

null

IA-2

null

IA-2

null

IA-2

null

IA-2

3.5.1 3.5.2

3.5.1.a

3.5.1[a] 3.5.1[b] 3.5.1[c] 3.5.2[a] 3.5.2[b] 3.5.2[c]

A.03.05.01.a[02]

null

PR.AC-6

PR.AA-01 PR.AA-03

null

8.1.1 8.2

7.1 7.2 7.2.1 7.3 7.3.1 7.3.2 7.3.3 8.1 8.2 8.3 8.3.3 8.3.9

8.3.9

8.3.3 8.3.9

null

8.3.3 8.3.9

null

7.2.1 7.3.1 7.3.2 7.3.3 8.3.3 8.3.9

null

H.2.2

null

4.1.1

null

AM:SG1.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3 TM:SG4.SP4

1.6

5.5.1 5.5.2 5.5.2.1 5.5.2.2 5.5.2.3 5.5.2.4 5.6.1 5.6.1.1 5.6.2 5.6.2.1 5.6.2.1.1 5.6.2.1.1.1 5.6.2.1.1.2 5.6.2.1.1 5.6.2.1.3 5.6.2.2 5.6.2.2.1 5.6.2.2.2 5.6.3 5.6.3.1 5.6.3.2

IA.L1-3.5.1 IA.L1-3.5.2

AC.L1-b.1.i IA.L1-b.1.v IA.L1-b.1.vi

IA.L2-3.5.1 IA.L2-3.5.2

IA-2

null

52.204-21(b)(1)(i) 52.204-21(b)(1)(v) 52.204-21(b)(1)(vi)

null

§ 11.10 § 11.10(d) § 11.10(g)

IA-2

null

164.312(a)(2)(i)

null

IA-2

120.14 120.15 120.16

null

8-607

7.1

6.6 6.7

null

5.3

IA-2

null

IA-2

null

§ 2447(c)(1)(A)(iv)

null

IDM-01 PSS-05 PSS-09

null

4.2 4.31 4.34

null

TPC-32

null

2-2-3

null

B2.a

null

2

null

Principle 5.10

null

0414

null

16.1.32.C.01

Principle 13 P13-(1) P13-(2) P13-(2)(a) P13-(2)(b) P13-(3) P13-(4)(a) P13-(4)(b) P13-(5)

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Group Authentication

IAC-02.1

Mechanisms exist to require individuals to be authenticated with an individual authenticator when a group authenticator is utilized.

null

Does the organization require individuals to be authenticated with an individual authenticator when a group authenticator is utilized?

7

Protect

null

X

There is no evidence of a capability to require individuals to be authenticated with an individual authenticator when a group authenticator is utilized.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies proactively govern account management of individual, group, system, application, guest and temporary accounts. • Administrative processes and technologies require individuals to be authenticated with an individual authenticator when a group authenticator is utilized.

Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require individuals to be authenticated with an individual authenticator when a group authenticator is utilized.

null

IA-2(5)

null

IA-2(5)

null

IA-2(5)

null

IA-2(5)

null

3.5.12.a

null

A07:2021

null

8.2.2

null

8.2.2

null

H.2.2

null

8.9

null

IA-2(5)

null

IA-2(5)

null

IA-2(5)

null

IA-2(5)

null

IA-2(5)

null

IA-2(5)

null

4.34

null

2-2-1-7

null

0415 1619

null

16.1.33.C.01 16.1.33.C.02 16.1.34.C.01

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Replay-Resistant Authentication

IAC-02.2

Automated mechanisms exist to employ replay-resistant authentication.

null

Does the organization use automated mechanisms to employ replay-resistant authentication?

9

Protect

null

X

There is no evidence of a capability to employ replay-resistant authentication.

SP-CMM1 is N/A, since a structured process is required to employ replay-resistant authentication.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to incorporate replay-resistant authentication mechanisms to protect network access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ replay-resistant authentication.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ replay-resistant authentication.

null

IA-2(8) IA-2(9)

null

IA-2(8)

IA-2(8) IA-2(9)

IA-2(8)

null

IA-2(8)

null

5.2.8

IA-2(8)

null

3.5.4

3.5.4 3.7.5.b

3.5.4

A.03.05.04

3.5.1e

null

A07:2021

null

8.5.1

null

8.5.1

null

8.5.1

null

8.5.1

null

H.3.21

null

IA.L2-3.5.4

IA.L2-3.5.4 TBD - 3.5.1e

null

IA.L2-3.5.4

IA.L2-3.5.4 IA.L3-3.5.1e

IA-2(8)

null

IA-2(8) IA-2(9)

null

IA-2(8)

IA-2(8) IA-2(9)

null

IA-2(8)

null

IA-2(8)

null

IA-2(8)

null

IA-2(8)

null

4.31

null

1603 1055

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

- renamed & wordsmithed control

Identification & Authentication

Acceptance of PIV Credentials

IAC-02.3

Mechanisms exist to accept and electronically verify organizational Personal Identity Verification (PIV) credentials.

- Personal Identity Verification (PIV) credentials

null

Does the organization accept and electronically verify organizational Personal Identity Verification (PIV) credentials?

2

Protect

null

X

There is no evidence of a capability to accept and electronically verify organizational Personal Identity Verification (PIV) credentials.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to accept and electronically verify organizational Personal Identity Verification (PIV) credentials, including from third-parties.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to accept and electronically verify organizational Personal Identity Verification (PIV) credentials, including from third-parties.

Identification & Authentication (IAC) 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 accept and electronically verify organizational Personal Identity Verification (PIV) credentials.

null

IA-2(12) IA-8(5)

IA-2(12)

IA-2(12) IA-8(5)

null

IA-2(12)

IA-8(5)

null

IA-2(12)

null

A07:2021

null

P.5.5.6.6

null

IA-2(12)

null

5.3

null

IA-2(12)

null

IA-2(12)

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Out-of-Band Authentication (OOBA)

IAC-02.4

Mechanisms exist to implement Out-of-Band Authentication (OOBA) under specific conditions.

null

Does the organization implement Out-of-Band Authentication (OOBA) under specific conditions?

5

Protect

null

X

There is no evidence of a capability to implement Out-of-Band Authentication (OOBA) under specific conditions.

SP-CMM1 is N/A, since a structured process is required to implement Out-of-Band Authentication (OOBA) under specific conditions.

SP-CMM2 is N/A, since a well-defined process is required to implement out-of-Band Authentication (OOBA) under specific conditions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. o Exist to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).

Identification & Authentication (IAC) 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 implement Out-of-Band Authentication (OOBA) under specific conditions.

null

IA-2(13)

null

IA-2(13)

null

IA-2(13)

5.1.3

null

H.4

null

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Identification & Authentication for Non-Organizational Users

IAC-03

Mechanisms exist to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization.

null

Does the organization uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization?

9

Protect

null

X

There is no evidence of a capability to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization.

SP-CMM1 is N/A, since a structured process is required to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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 uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization.

CC6.1

CC6.1-POF3

null

6.7 12.5

null

6.7 12.5

DSS05.04

null

IAM-11 IAM-13 IAM-16

null

CR 1.1 (5.3.1) CR 1.1 (5.3.3(1))

null

5.16

null

T1053, T1053.007, T1059, T1059.001, T1059.008, T1087.004, T1190, T1210, T1213, T1213.001, T1213.002, T1528, T1530, T1537, T1538, T1542, T1542.001, T1542.003, T1542.005, T1547.006

null

PR.AC-P1

null

IA-8

null

IA-8

null

IA-8

null

IA-8

null

IA-8

null

3.5.1.a 3.7.5.a

3.12.4[a] 3.12.4[b] 3.12.4[c] 3.12.4[d] 3.12.4[e] 3.12.4[f] 3.12.4[g] 3.12.4[h]

null

PR.AA-01 PR.AA-03

A07:2021

null

B.1.1.11

null

AM:SG1.SP1 TM:SG4.SP1

null

5.5.1 5.5.2 5.5.2.1 5.5.2.2 5.5.2.3 5.5.2.4

null

IA-8

null

IA-8

null

2.E.6.2 IA-8

120.14 120.15 120.16

null

8-607

7.1

6.6 6.7

null

5.3

null

IA-8

null

Art 4

null

PSS-05 PSS-09

null

4.2 4.21

null

2-2-3

null

B2.a

null

1583

null

Principle 13 P13-(1) P13-(2) P13-(2)(a) P13-(2)(b) P13-(3) P13-(4)(a) P13-(4)(b) P13-(5)

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Acceptance of PIV Credentials from Other Organizations

IAC-03.1

Mechanisms exist to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.

null

Does the organization accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties?

2

Protect

null

X

There is no evidence of a capability to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.

SP-CMM1 is N/A, since a structured process is required to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to accept and electronically verify organizational Personal Identity Verification (PIV) credentials, including from third-parties.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to accept and electronically verify organizational Personal Identity Verification (PIV) credentials, including from third-parties.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.

null

IA-8(1)

null

IA-8(1)

null

IA-8(1)

null

A07:2021

null

P.5.5.6.6

null

IA-8(1)

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Acceptance of Third-Party Credentials

IAC-03.2

Automated mechanisms exist to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials.

null

Does the organization use automated mechanisms to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials?

2

Protect

null

X

There is no evidence of a capability to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials.

SP-CMM1 is N/A, since a structured process is required to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials.

null

IA-8(2)

null

IA-8(2)

null

IA-8(2)

null

A07:2021

null

8.2.3

null

8.2.3

null

P.5.5.6.6

null

IA-8(2) IA-8(3)

null

IA-8(2)

null

IA-8(2)

null

PSS-05 PSS-09

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Identification & Authentication

Use of FICAM-Issued Profiles

IAC-03.3

Mechanisms exist to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles.

null

Does the organization conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles?

2

Protect

null

X

There is no evidence of a capability to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles.

SP-CMM1 is N/A, since a structured process is required to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles.

null

IA-8(4)

null

IA-8(4)

null

IA-8(4)

null

C.5.1

null

IA-8(4)

null

3.L.A

IA-8(4)

null

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Disassociability

IAC-03.4

Mechanisms exist to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.

null

Does the organization disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties?

2

Protect

null

X

There is no evidence of a capability to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.

SP-CMM1 is N/A, since a structured process is required to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.

null

IA-8(6)

null

IA-8(6)

null

H.2.2.1

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Acceptance of External Authenticators

IAC-03.5

Mechanisms exist to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.

null

Does the organization restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators?

4

Protect

null

X

There is no evidence of a capability to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.

SP-CMM1 is N/A, since a structured process is required to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.

null

IA-8(3)

null

IA-8(2)

null

C.1.5

null

IA-8(3)

null

R-AM-3 R-GV-1

null

R-AM-3

null

R-GV-1

null

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

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Identification & Authentication for Devices

IAC-04

Mechanisms exist to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant.

- Active Directory (AD) Kerberos

null

Does the organization uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant?

9

Protect

X

There is no evidence of a capability to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant.

SP-CMM1 is N/A, since a structured process is required to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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 uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant.

CC6.1

CC6.1-POF8

null

6.7 12.5

null

6.7 12.5

null

DCS-08 UEM-14

CLS-08 IAM-17

null

CR 1.2 (5.4.1) CR 1.2 (5.4.3(1))

null

5.16

null

T1530, T1537, T1552, T1552.005, T1602, T1602.001, T1602.002

null

PR.AC-P6

null

IA-3 IA-3(1) IA-3(4)

null

IA-3

IA-3 IA-3(1) IA-3(4)

null

IA-3

IA-3(1) IA-3(4)

null

IA-3

null

IA-3

null

IA-3

3.5.2

3.1.18.b 3.5.2

null

A.03.05.02

3.5.1e

null

PR.AC-7

PR.AA-01 PR.AA-03

null

N.11

null

1.1

null

IA.L1-3.5.2

null

IA.L1-b.1.v

IA.L2-3.5.2

IA.L2-3.5.2 IA.L3-3.5.1e

IA-3

null

52.204-21(b)(1)(v)

null

§ 11.10 § 11.10(h)

IA-3

null

IA-3

null

IA-3

null

IA-3

null

1.S.A 2.S.A 3.S.A

1.M.A 3.M.C 3.M.D 9.M.C

1.M.A 3.M.C 3.M.D 9.M.C 3.L.D

IA-3 IA-3(1)

null

8-607

7.1

6.7

null

5.3

null

IA-3

null

IA-3

null

Art 25

null

PSS-05 PSS-09

null

4.33

null

B2.a B2.b

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Device Attestation

IAC-04.1

Mechanisms exist to ensure device identification and authentication is accurate by centrally-managing the joining of systems to the domain as part of the initial asset configuration management process.

null

Does the organization ensure device identification and authentication is accurate by centrally-managing the joining of systems to the domain as part of the initial asset configuration management process?

5

Protect

null

X

There is no evidence of a capability to ensure device identification and authentication is accurate by centrally-managing the joining of systems to the domain as part of the initial asset configuration management process.

SP-CMM1 is N/A, since a structured process is required to ensure device identification and authentication is accurate by centrally-managing the joining of systems to the domain as part of the initial asset configuration management process.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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.

Identification & Authentication (IAC) 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

IA-3(4)

null

IA-3(4)

null

IA-3(4)

null

3.5.3e

null

N.19

null

TBD - 3.5.3e

null

IA.L3-3.5.3e

null

B2.b

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Identification & Authentication for Third Party Systems & Services

IAC-05

Mechanisms exist to identify and authenticate third-party systems and services.

null

Does the organization identify and authenticate third-party systems and services?

9

Protect

null

X

There is no evidence of a capability to identify and authenticate third-party systems and services.

SP-CMM1 is N/A, since a structured process is required to identify and authenticate third-party systems and services.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and authenticate third-party systems and services.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and authenticate third-party systems and services.

CC6.1

CC6.1-POF8

null

5.5

null

5.5

null

5.16

null

T1036, T1036.001, T1036.005, T1059, T1059.001, T1059.002, T1213.003, T1525, T1546, T1546.006, T1546.013, T1553, T1553.004, T1554, T1562.006, T1562.009, T1566, T1566.001, T1566.002, T1598, T1598.002, T1598.003

null

PR.AC-P1

null

IA-9

null

IA-9

null

IA-9

null

IA-9

null

IA-9

null

IA-9

null

3.1.18.b 3.5.1.a 3.5.2

3.12.2[a] 3.12.2[b] 3.12.2[c]

null

3.5.1e

null

PR.AA-01 PR.AA-03

null

8.2.3

null

8.2.3

null

N.11.3

null

ID:SG1.SP1 KIM:SG2.SP2

null

5.5.1 5.5.2 5.5.2.1 5.5.2.2 5.5.2.3 5.5.2.4

null

IA.L3-3.5.1e

null

IA-9

120.14 120.15 120.16

null

8-607

null

6.6 6.7

null

5.3

null

Art 4

null

PSS-05 PSS-09

null

4.2

null

2-2-3

null

B2.a B2.b

null

9.1.8

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Sharing Identification & Authentication Information

IAC-05.1

Mechanisms exist to ensure external service providers provide current and accurate information for any third-party user with access to the organization's data or assets.

null

Does the organization ensure external service providers provide current and accurate information for any third-party user with access to the organization's data or assets?

5

Protect

null

X

There is no evidence of a capability to ensure third-party service providers provide current and accurate information for any third-party user with access to the organization's data or assets.

SP-CMM1 is N/A, since a structured process is required to ensure third-party service providers provide current and accurate information for any third-party user with access to the organization's data or assets.

SP-CMM2 is N/A, since a well-defined process is required to ensure third-party service providers provide current and accurate information for any third-party user with access to the organization's data or assets.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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.

Identification & Authentication (IAC) 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

IA-9(1)

null

8.2.3 8.6.1

null

8.6.1

null

8.6.1

null

8.6.1

8.2.3 8.6.1

null

P.9.5

null

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Privileged Access by Non-Organizational Users

IAC-05.2

Mechanisms exist to prohibit privileged access by non-organizational users.

null

Does the organization prohibit privileged access by non-organizational users?

9

Protect

null

There is no evidence of a capability to prohibit privileged access by non-organizational users.

SP-CMM1 is N/A, since a structured process is required to prohibit privileged access by non-organizational users.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to limit access to security functions to explicitly-authorized privileged users. • Technologies are configured to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to limit access to security functions to explicitly-authorized privileged users. • Technologies are configured to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit privileged access by non-organizational users.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit privileged access by non-organizational users.

null

AC-6(6)

null

AC-6(6)

null

AC-6(6)

null

3.7.5.a

null

H.2.5

null

1.5

null

AC-6(6)

null

B2.c

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

null

MT-8

MT-9

MT-10

null

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Multi-Factor Authentication (MFA)

IAC-06

Automated mechanisms exist to enforce Multi-Factor Authentication (MFA) for: ▪ Remote network access; ▪ Third-party systems, applications and/or services; and/ or ▪ Non-console access to critical systems or systems that store, transmit and/or process sensitive/regulated data.

- Multi-Factor Authentication (MFA) - Microsoft Active Directory (AD) Certificate Services - Yubico (https://www.yubico.com) - Duo (https://www.duo.com)

null

Does the organization use automated mechanisms to enforce Multi-Factor Authentication (MFA) for: ▪ Remote network access; ▪ Third-party systems, applications and/or services; and/ or ▪ Non-console access to critical systems or systems that store, transmit and/or process sensitive/regulated data?

9

Protect

null

X

There is no evidence of a capability to enforce Multi-Fact or Authentication (MFA) for: ▪ Remote network access; ▪ Third-party systems, applications and/ or services; and/ or ▪ Non-console access to critical systems or systems that store, transmit and/ or process sensitive/regulated data.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies require Multi-Fact or Authentication (MFA) for remote network access.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies require Multi-Fact or Authentication (MFA) for remote network access.

Identification & Authentication (IAC) 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 Multi-Fact or Authentication (MFA) for: ▪ Remote network access; ▪ Third-party systems, applications and/ or services; and/ or ▪ Non-console access to critical systems or systems that store, transmit and/ or process sensitive/regulated data.

null

6.3 6.4

null

IAM-14

CLS-11

null

CR 1.1 (5.3.3(2))

null

6.8.1.2

null

TS-1.6 TS-2.9

Sec 4(D)(2)(g)

null

IA-2(11)

null

IA-2(11)

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

null

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

null

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

null

3.5.3

3.5.3 3.7.5.b

null

A.03.05.03

null

PR.AC-7

null

A07:2021

8.3 8.3.1 8.3.2

8.2.3 8.4 8.4.2 8.4.3 8.5.1

null

8.4.2 8.4.3 8.5.1

null

8.4.3

8.4.2 8.4.3 8.5.1

null

8.4.2 8.4.3 8.5.1

8.2.3 8.4.2 8.4.3 8.5.1

null

N.4.4

4.2

null

ACCESS-1.H.MIL2 ACCESS-1.I.MIL3

null

1.1 1.3

null

IA.L2-3.5.3

null

IA.L2-3.5.3

IA-2(11)

null

IA-2(11)

null

IA-2(11)

null

314.4(c)(5)

null

1.S.A 2.S.A 3.S.A

1.M.A 1.M.B 3.M.D 6.M.A 9.M.C

1.M.A 1.M.B 3.M.D 6.M.A 9.M.C 3.L.D

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

null

IA-2(11)

III.C.2

null

500.12

null

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

null

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

null

IA-2(11)

null

Article 21.2(j)

Art 4

null

4.21 4.32

null

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

TPC-4 TPC-5 TPC-37 TPC-44 TPC-45

null

2-2-3-2 2-4-3-2 2-15-3-5

null

B2.a

null

2

null

Principle 7.1 Principle 7.2 Principle 7.3 Principle 7.4

Principle 7.1 Principle 7.2 Principle 7.3 Principle 7.4 Principle 7.5 Principle 7.6 Principle 7.7

null

0974 1173 1504 1505 1401 1559 1560 1561 1679 1680 1681 1682 1683 1684 1685

null

16.7.34.C.01 16.7.34.C.02 16.7.35.C.01 16.7.36.C.01 23.3.19.C.01 23.3.19.C.02

null

4.6(b)

9.1.5

null

x

NAIC Lockton

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Identification & Authentication

Network Access to Privileged Accounts

IAC-06.1

Mechanisms exist to utilize Multi-Factor Authentication (MFA) to authenticate network access for privileged accounts.

- Multi-Factor Authentication (MFA) - Microsoft Active Directory (AD) Certificate Services - Yubico (https://www.yubico.com) - Duo (https://www.duo.com)

null

Does the organization utilize Multi-Factor Authentication (MFA) to authenticate network access for privileged accounts?

9

Protect

null

X

There is no evidence of a capability to utilize Multi-Fact or Authentication (MFA) to authenticate network access for privileged accounts.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to use Multi-Fact or Authentication (MFA) to authenticate network access for privileged and non-privileged accounts.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to use Multi-Fact or Authentication (MFA) to authenticate network access for privileged and non-privileged accounts.

Identification & Authentication (IAC) 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 Multi-Fact or Authentication (MFA) to authenticate network access for privileged accounts.

null

6.5

null

IAM-14

CLS-11

null

CR 1.1 (5.3.3(2))

null

TS-1.6 TS-2.6 TS-2.9

null

IA-2(1) IA-2(4)

null

IA-2(1)

IA-2(1) IA-2(4)

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

null

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

null

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

null

3.5.3

3.5.3 3.7.5.b

3.5.3[a] 3.5.3[c]

null

A07:2021

null

8.4.1 8.4.2

null

8.4.1 8.4.2

null

8.4.1 8.4.2

8.4.1

8.4.1 8.4.2

null

H.4.1

null

ACCESS-1.H.MIL2

null

IA.L2-3.5.3

null

IA.L2-3.5.3

IA-2(1)

null

IA-2(1) IA-2(4)

IA-2(1)

IA-2(1) IA-2(4)

IA-2(1)

null

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

null

IA-2(1)

null

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

IA-2(1)

null

4.29

null

2-2-1-4

TPC-5 TPC-37

null

B2.c

null

Principle 7.5

null

16.7.34.C.01 16.7.34.C.02 16.7.35.C.01 16.7.36.C.01

null

4.6(a)

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Network Access to Non-Privileged Accounts

IAC-06.2

Mechanisms exist to utilize Multi-Factor Authentication (MFA) to authenticate network access for non-privileged accounts.

- Multi-Factor Authentication (MFA) - Microsoft Active Directory (AD) Certificate Services - Yubico (https://www.yubico.com) - Duo (https://www.duo.com)

null

Does the organization utilize Multi-Factor Authentication (MFA) to authenticate network access for non-privileged accounts?

7

Protect

null

X

There is no evidence of a capability to utilize Multi-Fact or Authentication (MFA) to authenticate network access for non-privileged accounts.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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 Multi-Fact or Authentication (MFA) to authenticate network access for non-privileged accounts.

null

CR 1.1 (5.3.3(2))

null

TS-2.9

null

IA-2(2) IA-2(4)

null

IA-2(2)

IA-2(4)

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

null

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

null

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

null

3.5.3

3.5.3[d]

null

A07:2021

null

8.4.2

null

8.4.2

null

8.4.2

null

8.4.2

null

H.4.2

null

IA.L2-3.5.3

null

IA.L2-3.5.3

IA-2(2)

null

IA-2(2) IA-2(4)

null

IA-2(2)

IA-2(2) IA-2(4)

null

IA-2(2)

null

1.M.B

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

null

IA-2(2)

null

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

null

IA-2(2)

null

2-2-1-3

TPC-5 TPC-45

null

16.7.34.C.01 16.7.34.C.02 16.7.35.C.01 16.7.36.C.01

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Local Access to Privileged Accounts

IAC-06.3

Mechanisms exist to utilize Multi-Factor Authentication (MFA) to authenticate local access for privileged accounts.

- Multi-Factor Authentication (MFA) - Microsoft Active Directory (AD) Certificate Services - Yubico (https://www.yubico.com) - Duo (https://www.duo.com)

null

Does the organization utilize Multi-Factor Authentication (MFA) to authenticate local access for privileged accounts?

5

Protect

null

X

There is no evidence of a capability to utilize Multi-Fact or Authentication (MFA) to authenticate local access for privileged accounts.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to use Multi-Fact or Authentication (MFA) to authenticate local access for privileged accounts.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to use Multi-Fact or Authentication (MFA) to authenticate local access for privileged accounts.

Identification & Authentication (IAC) 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 Multi-Fact or Authentication (MFA) to authenticate local access for privileged accounts.

null

IAM-14

null

CR 1.1 (5.3.3(2))

null

IA-2(3)

null

IA-2(3)

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

null

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

null

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

null

3.5.3

3.5.3[a] 3.5.3[b]

null

A07:2021

null

8.4.2

null

8.4.2

null

8.4.2

null

8.4.2

null

H.4.1

null

ACCESS-1.H.MIL2

null

IA.L2-3.5.3

null

IA.L2-3.5.3

IA-2(3)

null

IA-2(3)

null

IA-2(3)

null

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

null

IA-2(3)

null

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

null

IA-2(3)

null

4.30

null

2-2-1-4

TPC-37

null

B2.c

null

Principle 7.5

null

16.7.34.C.01 16.7.34.C.02 16.7.35.C.01 16.7.36.C.01

null

4.6(a)

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Out-of-Band Multi-Factor Authentication

IAC-06.4

Mechanisms exist to implement Multi-Factor Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access.

null

Does the organization implement Multi-Factor Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access?

5

Protect

null

X

There is no evidence of a capability to implement Multi-Fact or Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access.

SP-CMM1 is N/A, since a structured process is required to implement Multi-Fact or Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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 implement Multi-Fact or Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access.

null

IA-2(6) IA-2(11)

null

IA-2(11)

IA-2(1) IA-2(2) IA-2(6)

null

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

null

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

null

8.4.2

null

8.4.2

null

8.4.2

null

8.4.2

null

N.4.6

null

IA-2(11)

null

IA-2(6)

null

IA-2(6)

null

IA-2(1) IA-2(2) IA-2(6)

null

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

null

IA-2(11)

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

User Provisioning & De-Provisioning

IAC-07

Mechanisms exist to utilize a formal user registration and de-registration process that governs the assignment of access rights.

null

E-HRS-12 E-HRS-18 E-HRS-19

Does the organization utilize a formal user registration and de-registration process that governs the assignment of access rights?

10

Protect

null

X

There is no evidence of a capability to utilize a formal user registration and de-registration process that governs the assignment of access rights.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.

Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a formal user registration and de-registration process that governs the assignment of access rights.

CC6.2

CC6.2-POF1 CC6.3-POF1 CC6.3-POF2

null

6.1 6.2

null

IAM-06 IAM-07 IAM-16

IAM-08

SO7

null

CR 2.1 (6.3.3(3))

null

9.2.1 9.2.2

5.16 5.18

9.2.1 9.2.2

null

6.6 6.6.2 6.6.2.1 6.6.2.2

null

OR-3.1

null

IA-5(3)

null

IA-5(3)

IA-12(4)

null

IA-12(4)

null

IA-12(4)

null

3.5.5.a

null

A.03.01.01.c[02] A.03.01.01.c[03] A.03.01.01.d[01] A.03.01.01.d[02]

null

PR.AC-6

null

A01:2021

null

7.2.3 8.2.4 8.3.5

8.3.5

7.2.3 8.2.4 8.3.5

null

7.2.3 8.2.4 8.3.5

8.2.4

7.2.3 8.2.4 8.3.5

null

H.2.3.1

null

4.1.1 4.2.1

null

ACCESS-1.A.MIL1 ACCESS-1.C.MIL1 ACCESS-1.F.MIL2 ACCESS-2.F.MIL2 ACCESS-2.G.MIL2

HRM:SG4.SP2

1.7

null

IA-5(3)

null

IA-5(3)

null

IA-5(3)

null

164.308(a)(3)(ii)(A) 164.308(a)(3)(ii)(B)

3.S.A

3.M.B 6.M.A

3.M.B 6.M.A 3.L.A 3.L.B 5.L.B 6.L.A 6.L.E

null

CIP-004-6 R5

null

IA-5(3)

null

6.4 6.5 6.6

IDM-01 IDM-02 PSS-09

null

7.2.1 [OP.ACC.1]

null

B2.d

null

3

null

Principle 5.10

null

0430

null

9.2.1 9.2.1.6.PB 9.2.2 9.2.2.8.PB

null

23.3.20.C.01

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Change of Roles & Duties

IAC-07.1

Mechanisms exist to revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted.

null

E-HRS-12 E-HRS-19

Does the organization revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted?

10

Protect

null

X

null

There is no evidence of a capability to revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.

Identification & Authentication (IAC) 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 revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted.

CC6.2

CC6.2-POF1 CC6.3-POF1 CC6.3-POF2

null

DSS06.03

null

IAM-07 IAM-16

null

SO7

null

9.2.5

5.18

9.2.5

null

6.6.2.5

null

ID.IM-P2

null

3.5.5.a 3.5.5.b 3.5.5.d

null

PO.2 PO.2.1 PO.2.3

null

A01:2021

null

7.2.3 8.2.4 8.2.5

8.2.5

7.2.3 8.2.4 8.2.5

null

7.2.3 8.2.4 8.2.5

8.2.4 8.2.5

7.2.3 8.2.4 8.2.5

null

H.2.1

null

4.1.2 4.1.3

null

ACCESS-2.F.MIL2 ACCESS-2.G.MIL2

null

164.308(a)(3)(ii)(A)

null

3.M.B

null

6.4 6.5 6.6

PS-04 PSS-08

null

2-2-1-10

null

B2.d

null

0430

null

Article 27

null

9.2.5

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Termination of Employment

IAC-07.2

Mechanisms exist to revoke user access rights in a timely manner, upon termination of employment or contract.

null

E-HRS-19

Does the organization revoke user access rights in a timely manner, upon termination of employment or contract?

10

Protect

null

X

There is no evidence of a capability to revoke user access rights in a timely manner, up on termination of employment or contract.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.

Identification & Authentication (IAC) 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 revoke user access rights in a timely manner, up on termination of employment or contract.

null

IAM-07 IAM-16

null

9.2.5

5.18

9.2.5

null

6.6.2.5

null

T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1025, T1036, T1036.003, T1036.005, T1041, T1047, T1048, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, 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, T1078, T1078.001, T1078.002, T1078.003, T1078.004, T1087.004, T1098, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1134, T1134.001, T1134.002, T1134.003, T1136, T1136.001, T1136.002, T1136.003, T1185, T1190, T1197, T1210, T1212, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1505.003, T1525, T1528, T1530, T1537, T1538, T1542, T1542.001, T1542.003, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.004, T1547.006, T1547.009, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1552.007, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1567, T1569, T1569.001, T1569.002, T1574, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1606, T1606.001, T1606.002, T1609, T1610, T1611, T1612, T1613, T1619

null

AC-2(10)

null

AC-2

null

AC-2

null

AC-2

null

AC-2

null

AC-2

null

3.1.1.f.3

null

A01:2021

null

8.2.4 8.2.5

8.2.5

8.2.4 8.2.5

null

8.2.4 8.2.5

null

E.2

null

4.1.2 4.1.3

null

AC-2(10)

null

AC-2(10)

null

164.308(a)(3)(ii)(C)

null

3.M.B

AC-2

null

AC-2(10)

null

AC-2

null

AC-2(10)

null

6.4 6.5 6.6

null

2-2-1-10 2-2-1-11

null

B2.d

null

0430

null

9.2.5

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

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

Identification & Authentication

Role-Based Access Control (RBAC)

IAC-08

Mechanisms exist to enforce a Role-Based Access Control (RBAC) policy over users and resources that applies need-to-know and fine-grained access control for sensitive/regulated data access.

- Role-Based Access Control (RBAC)

E-HRS-12 E-IAM-02

Does the organization enforce a Role-Based Access Control (RBAC) policy over users and resources that applies need-to-know and fine-grained access control for sensitive/regulated data access?

9

Protect

null

X

There is no evidence of a capability to enforce a Role-Based Access Control (RBAC) policy over users and resources that applies need-to-know and fine-grained access control for sensitive/regulated data access.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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.

Identification & Authentication (IAC) 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.

CC6.1 CC6.3

CC5.2-POF3 CC6.3-POF3

null

3.3 5.6 6.8

3.3

3.3 5.6

3.3 5.6 6.8

null

IAM-03 IAM-09 IAM-10 IAM-16

null

CR 2.1 (6.3.1) CR 2.1 (6.3.3(1)) CR 2.1 (6.3.3(2))

null

9.1.2

5.15 8.3

9.1.2

A.10.13

null

TS-1.7

null

AC-2(7)

null

AC-2(7)

null

AC-2(7)

null

3.1.3

3.1.2 3.1.5.b 3.1.6.a 3.1.12.a 3.4.5

3.1.3[c]

A.03.01.02 A.03.01.05.ODP[01] A.03.01.05.ODP[02] A.03.01.06.ODP[01]

null

PR.AC-4

PR.AA-05

A01:2021

7.1 7.1.2 7.1.3 7.1.4 7.2 7.2.1 7.2.2 7.2.3

1.3 7.1 7.2 7.2.1 7.2.2 7.2.5 7.3 7.3.1 7.3.2 7.3.3

null

7.2.2 7.2.5

7.2.2

7.2.2 7.2.5

7.2.2

7.2.1 7.2.2 7.2.5 7.3.1 7.3.2 7.3.3

null

H.2.3

1.2 5.1

4.1.2 4.2.1

8.4 8.6

null

ACCESS-1.G.MIL2 ACCESS-2.B.MIL1 ACCESS-2.C.MIL2

null

5.5.2

null

AC.L2-3.1.3

null

AC.L1-b.1.i AC.L1-b.1.ii

AC.L2-3.1.3

AC-2(7)

null

52.204-21(b)(1)(i) 52.204-21(b)(1)(ii)

null

§ 11.10 § 11.10(d)

AC-2(7)

null

AC-2(7)

null

AC-2(7)

null

AC-2(7)

null

314.4(c)(1)(ii)

164.308(a)(3)(i)

3.S.A

null

3.L.B 3.L.C

2.C.1 2.D.6 AC-2(7)

null

1.1 10.2

6.10

null

AC-2(7)

null

AC-2(7)

null

§ 2447(b)(5) § 2447(c)(2)(A)

3.4.2.(32)

null

6.2

PSS-08 PSS-11

null

4.2 4.8 4.9 4.10 4.11 4.20 12.28 12.29

null

TPC-39

null

2-2-3-3

null

7.2.4 [OP.ACC.4]

null

B2.a B2.d B3.a

null

3

null

Principle 5.1 Principle 5.2 Principle 5.3 Principle 5.4 Principle 5.5

Principle 5.1 Principle 5.4

Principle 5.1 Principle 5.4 Principle 5.5

null

1746

null

Article 27

null

9.1.2

null

9.2.11.C.01 9.2.11.C.02 16.2.4.C.01 16.2.5.C.01

null

9.1.7 11.1.6

null

x

FAR 52.204-21 Lockton

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Identifier Management (User Names)

IAC-09

Mechanisms exist to govern naming standards for usernames and systems.

null

Does the organization govern naming standards for usernames and systems?

9

Protect

null

X

There is no evidence of a capability to govern naming standards for usernames and systems.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern naming standards for usernames and systems.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern naming standards for usernames and systems.

CC6.1

null

5.6

null

5.6

null

IAM-03 IAM-13

null

CR 1.4 (5.6.1)

null

5.16

null

T1003, T1003.005, T1003.006, T1021.001, T1021.005, T1053, T1053.002, T1053.005, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1213, T1213.001, T1213.002, T1528, T1530, T1537, T1543, T1547.006, T1550.001, T1552, T1552.005, T1562, T1563, T1578, T1578.001, T1578.002, T1578.003, T1602, T1602.001, T1602.002

null

IA-4

null

IA-4

null

IA-4

null

IA-4

null

IA-4

3.5.5

3.5.5.a 3.5.5.b 3.5.5.c 3.5.5.d

3.5.5[a] 3.5.5[b]

A.03.04.05[04] A.03.04.05[05] A.03.04.05[06] A.03.05.05.a A.03.05.05.b[01] A.03.05.05.b[02] A.03.05.05.c A.03.05.05.ODP[01] A.03.05.05.ODP[02]

null

A07:2021 A01:2021

null

8.2 8.2.1

8.2.1

null

8.2.1

null

H.2.2

null

4.1.1

null

ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3

1.6

null

IA.L2-3.5.5

null

IA.L2-3.5.5

IA-4

null

IA-4

null

164.312(a)(2)(i)

null

IA-4

null

8-607

null

IA-4

null

17.04(1)(d)

null

IA-4

null

§ 2447(c)(1)(A)(i) § 2447(c)(2)(B)

null

IDM-01

null

12.15

null

x

MA 201 CMR 17

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

User Identity (ID) Management

IAC-09.1

Mechanisms exist to ensure proper user identification management for non-consumer users and administrators.

null

Does the organization ensure proper user identification management for non-consumer users and administrators?

9

Protect

null

X

There is no evidence of a capability to ensure proper user identification management for non-consumer users and administrators.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) 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 proper user identification management for non-consumer users and administrators.

CC6.1

null

IAM-03 IAM-13

null

CR 1.4 (5.6.1)

null

9.2.1

5.16

9.2.1

null

6.6 6.6.2 6.6.2.1

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

3.5.5.b

null

A.03.05.01.a[01] A.03.05.01.ODP[01]

null

A01:2021

8.1 8.1.1 8.1.2 8.1.3 8.1.4 8.1.5 8.1.6 8.1.7 8.1.8

8.2 8.2.1

8.2.1

null

8.2.1

null

H.2.2

null

4.1.1

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

7.1

null

IA-4(4)

null

IA-4(4)

null

§ 2447(c)(1)(A)(i) § 2447(c)(2)(B)

null

12.15

null

2-2-3-1

null

9.2.1 9.2.1.6.PB

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Identity User Status

IAC-09.2

Mechanisms exist to identify contractors and other third-party users through unique username characteristics.

null

Does the organization identify contractors and other third-party users through unique username characteristics?

7

Protect

null

X

There is no evidence of a capability to identify contractors and other third-party users through unique username characteristics.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies identify contract or and other third-party users through unique username characteristics.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies identify contract or and other third-party users through unique username characteristics.

Identification & Authentication (IAC) 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 contractors and other third-party users through unique username characteristics.

null

IAM-03 IAM-13

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

3.5.5.d

null

A.03.05.05.d

null

A01:2021

null

H.2.2

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

IA-4(4)

null

Principle 13 P13-(1) P13-(2) P13-(2)(a) P13-(2)(b) P13-(3) P13-(4)(a) P13-(4)(b) P13-(5)

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Dynamic Management

IAC-09.3

Mechanisms exist to dynamically manage usernames and system identifiers.

- Microsoft Active Directory (AD)

null

Does the organization dynamically manage usernames and system identifiers?

5

Protect

null

X

There is no evidence of a capability to dynamically manage usernames and system identifiers.

SP-CMM1 is N/A, since a structured process is required to dynamically manage usernames and system identifiers.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to dynamically manage usernames and system identifiers.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to dynamically manage usernames and system identifiers.

null

IA-4(5) IA-5(2) IA-5(10)

null

IA-5(2)

IA-4(5) IA-5(2) IA-5(10)

null

IA-5(2)

IA-4(5) IA-5(10)

null

IA-5(2)

null

A01:2021

null

H.2.9

null

IA-5(2)

null

IA-5(2)

null

IA-5(2)

null

IA-5(2)

null

IA-5(2)

null

IA-5(2)

null

IA-5(2)

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Cross-Organization Management

IAC-09.4

Mechanisms exist to coordinate username identifiers with external organizations for cross-organization management of identifiers.

null

Does the organization coordinate username identifiers with external organizations for cross-organization management of identifiers?

5

Protect

X

There is no evidence of a capability to coordinate username identifiers with external organizations for cross-organization management of identifiers.

SP-CMM1 is N/A, since a structured process is required to coordinate username identifiers with external organizations for cross-organization management of identifiers.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate username identifiers with external organizations for cross-organization management of identifiers.

null

IAM-03

null

5.16

null

IA-4(6)

null

IA-4(6)

null

IA-4(6)

null

IA-4(6)

null

IA-4(6)

null

I.3.2.11

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Privileged Account Identifiers

IAC-09.5

Mechanisms exist to uniquely manage privileged accounts to identify the account as a privileged user or service.

null

Does the organization uniquely manage privileged accounts to identify the account as a privileged user or service?

9

Protect

null

X

There is no evidence of a capability to uniquely manage privileged accounts to identify the account as a privileged user or service.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies uniquely manage privileged accounts to identify the account as a privileged user or service.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies uniquely manage privileged accounts to identify the account as a privileged user or service.

Identification & Authentication (IAC) 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 uniquely manage privileged accounts to identify the account as a privileged user or service.

null

IAM-03 IAM-09 IAM-10 IAM-11 IAM-13

null

IA-5(8)

null

IA-5(8)

null

IA-5(8)

null

3.1.7.b 3.5.5.d

null

A01:2021

null

H.2.5.1

null

1.5

null

IA-5(8)

null

IA-5(8)

null

IA-5(8)

null

IA-5(8)

null

IDM-02

null

3

null

Principle 5.3

Principle 5.5

Principle 5.6

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Pairwise Pseudonymous Identifiers (PPID)

IAC-09.6

Mechanisms exist to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.

null

Does the organization generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject?

1

Protect

null

X

There is no evidence of a capability to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.

SP-CMM1 is N/A, since a structured process is required to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.

null

CT.DP-P1 CT.DP-P2 CT.DP-P3 CT.DP-P4 CT.DP-P5

null

DM-3(1)

null

IA-4(8)

null

IA-4(8)

null

A01:2021

null

H.2.2.1

null

DM-3(1)

null

Art 11.1

null

Sec 6.1.b

null

APP 2

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

x

null

x

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Authenticator Management

IAC-10

Mechanisms exist to securely manage authenticators for users and devices.

null

Does the organization securely manage authenticators for users and devices?

10

Protect

null

X

There is no evidence of a capability to securely manage authenticators for users and devices.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies enforce password complexity to ensure strong passwords. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies enforce password complexity to ensure strong passwords. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.

Identification & Authentication (IAC) 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.

Identification & Authentication (IAC) 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.

CC6.1

null

5.2

null

IAM-02 IAM-14 IAM-15

IAM-18 IAM-21 IAM-22

null

CR 1.5 (5.7.1)

null

9.2.4 9.4.3

5.17 5.18

9.2.4 9.4.3

null

6.6.2.3 6.6.2.4 6.6.4.3

null

T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.004, T1040, T1072, T1078, T1078.002, T1078.004, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1114, T1114.002, T1133, T1136, T1136.001, T1136.002, T1136.003, T1528, T1530, T1539, T1550.003, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1555, T1555.001, T1555.002, T1555.004, T1555.005, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1563.001, T1599, T1599.001, T1601, T1601.001, T1601.002

null

IA-5 IA-5(4)

IA-5

IA-5 IA-5(1)

null

IA-5 IA-5(1)

null

IA-5 IA-5(1)

null

IA-5

null

IA-5

3.5.8 3.5.9

3.5.7.a 3.5.7.b 3.5.7.c 3.5.7.d 3.5.7.e 3.5.7.f 3.5.12.a 3.5.12.b 3.5.12.c 3.5.12.d 3.5.12.e 3.5.12.f

3.5.8[a] 3.5.8[b] 3.5.9

A.03.05.12.a A.03.05.12.b A.03.05.12.c[01] A.03.05.12.c[02] A.03.05.12.c[03] A.03.05.12.d A.03.05.12.e A.03.05.12.f[01] A.03.05.12.f[02] A.03.05.12.ODP[01]

null

PR.AC-7

null

8.1.2 8.2 8.2.1 8.2.2 8.2.3 8.2.4 8.2.5 8.2.6

8.2.4 8.3 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.3.10.1 8.3.11 8.6.3

8.3.1 8.3.5 8.3.7 8.3.9

8.2.4 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.3.11 8.6.3

null

8.2.4 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.6.3

8.2.4 8.3.1

8.2.4 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.3.11 8.6.3

8.2.4 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.3.10.1 8.3.11 8.6.3

null

H.3

4.1 5.4

4.1.3

8.3

null

ACCESS-1.B.MIL1

TM:SG4.SP1

1.1 1.6

5.6.2.1 5.6.2.1.1 5.6.2.1.1.1 5.6.2.1.1.2 5.6.2.1.1 5.6.2.1.3

null

IA.L2-3.5.8 IA.L2-3.5.9

IA.L1-b.1.vi

IA.L2-3.5.8 IA.L2-3.5.9

IA-5

null

52.204-21(b)(1)(vi)

null

§ 11.300 § 11.300(a) § 11.300(b) § 11.300(c) § 11.300(d) § 11.300(e)

IA-5 IA-5(4)

IA-5

IA-5 IA-5(4)

IA-5

null

3.M.C

IA-5 IA-5(1)

null

CIP-007-6 R5

8-607

7.1

null

5.3

IA-5

III.C.1.a

null

17.04(1)(b) 17.04(1)(c) 17.04(1)(d) 17.04(1)(e) 17.04(2)(b)

null

IA-5

null

§ 2447(c)(1)(A)(ii)

null

Art 4

null

IDM-08

null

4.35 12.15 12.16

null

2-2-1-6

TPC-3

null

2-2-3-1

2-2-1-8

null

7.2.5 [OP.ACC.5]

null

B2.b

null

2

null

Principle 5.10

Principle 5.12

null

1227 1593 1594 1595

null

9.2.4 9.2.4.9.PB 9.4.3

null

14.3.13.C.01 14.3.13.C.02 14.3.13.C.03 16.1.40.C.01 16.1.40.C.02 16.1.41.C.01 16.1.41.C.02 16.1.41.C.03 16.1.41.C.04 16.1.42.C.01

null

x

FAR 52.204-21 MA 201 CMR 17

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Identification & Authentication

Password-Based Authentication

IAC-10.1

Mechanisms exist to enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication.

null

Does the organization enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication?

9

Protect

null

X

There is no evidence of a capability to enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication.

Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.

Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) 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 logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies enforce password complexity to ensure strong passwords. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.

Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, 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” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • 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 IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies enforce password complexity to ensure strong passwords. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication.

null

5.2

null

IAM-02 IAM-14 IAM-15

IAM-18 IAM-19 IAM-21

null

CR 1.5 (5.7.1) CR 1.7 (5.9.1) CR 1.7 (5.9.1(1))

null

9.2.4 9.4.3

5.17

9.2.4 9.4.3

null

TS-1.6

null

IA-5(1)

null

IA-5(1)

null

5.1.1.1 5.1.1.2 5.2.2

IA-5(1)

null

3.5.7

3.5.7.e 3.5.7.f 3.5.12.b 3.5.12.c 3.5.12.d 3.5.12.e 3.5.12.f

3.5.7[a] 3.5.7[b] 3.5.7[c] 3.5.7[d]

A.03.05.07.f A.03.05.07.ODP[01]

null

PR.AC-7

null

A07:2021

null

8.3 8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.3.10.1 8.6.3

8.3.1 8.3.5 8.3.6 8.3.7 8.3.9

8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.6.3

null

8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.6.3

8.3.1 8.3.6

8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.6.3

8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.3.10.1 8.6.3

null

H.3.14

4.1

4.1.3

8.3

null

ACCESS-1.B.MIL1 ACCESS-1.D.MIL2

null

1.1 1.4 1.6

5.6.2.1 5.6.2.1.1 5.6.2.1.1.1 5.6.2.1.1.2 5.6.2.1.1 5.6.2.1.3

null

IA.L2-3.5.7

null

IA.L2-3.5.7

IA-5(1)

null

§ 11.300 § 11.300(a) § 11.300(b) § 11.300(c) § 11.300(d) § 11.300(e)

IA-5(1)

null

3.M.C

IA-5(1)

null

5.3

IA-5(1)

III.C.1.a

null

IA-5(1)

null

Art 4

null

IDM-09 PSS-07

null

4.35 12.15 12.16

null

2-2-1-5

TPC-2

null

2-2-3-1

2-2-1-8

null

7.2.5 [OP.ACC.5]

null

0417 0421 1557 0422 1558 1596 1795

Principle 1

null

9.2.4 9.2.4.9.PB 9.4.3

null

16.1.35.C.01 16.1.35.C.02 16.1.42.C.01 16.1.43.C.01

null

9.1.4

null

x

null

x

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

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null