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657
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659
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677
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5.16k
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1.35k
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725
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TSC 2017
(Controls)
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TSC 2017
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Standard 200-1
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CSC
v8.0
stringclasses 158
values | CIS
CSC v8.0
IG1
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CSC v8.0
IG2
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values | CIS
CSC v8.0
IG3
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2019
stringclasses 101
values | COSO
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stringclasses 45
values | CSA
CCM
v4
stringclasses 229
values | CSA
IoT SCF
v2
stringclasses 168
values | ENISA
v2.0
stringclasses 33
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stringclasses 36
values | IEC 62443-4-2
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values | ISO/SAE
21434
v2021
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values | ISO
22301
v2019
stringclasses 25
values | ISO
27001
v2013
stringclasses 30
values | ISO
27001
v2022
stringclasses 35
values | ISO
27002
v2013
stringclasses 142
values | ISO
27002
v2022
stringclasses 166
values | ISO
27017
v2015
stringclasses 158
values | ISO
27018
v2014
stringclasses 16
values | ISO
27701
v2019
stringclasses 161
values | ISO
29100
v2011
stringclasses 15
values | ISO
31000
v2009
stringclasses 7
values | ISO
31010
v2009
stringclasses 16
values | MITRE
ATT&CK
10
stringclasses 100
values | MPA
Content Security Program
v5.1
stringclasses 98
values | NIAC
Insurance Data Security Model Law (MDL-668)
stringclasses 41
values | NIST
AI RMF
AI 100-1
v1.0
stringclasses 114
values | NIST Privacy Framework
v1.0
stringclasses 114
values | NIST
SSDF
stringclasses 29
values | NIST
800-37
rev 2
stringclasses 32
values | NIST
800-39
stringclasses 9
values | NIST
800-53
rev4
stringlengths 4
47
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800-53 rev4
(low)
stringclasses 121
values | NIST
800-53 rev4
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stringlengths 4
22
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800-53 rev4
(high)
stringlengths 4
23
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800-53
rev5
stringlengths 4
99
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800-53B
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800-53B
rev5
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stringclasses 151
values | NIST
800-53B
rev5
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stringlengths 4
40
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800-53B
rev5
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stringlengths 4
40
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800-53
rev5
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stringlengths 4
41
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800-63B
(partial mapping)
stringclasses 5
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800-82 rev3
LOW
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stringclasses 162
values | NIST
800-82 rev3
MODERATE
OT Overlay
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40
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800-82 rev3
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40
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800-160
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stringlengths 4
34
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800-161
rev 1
C-SCRM Baseline
stringclasses 95
values | NIST
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rev 1
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rev 1
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800-161
rev 1
Level 2
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800-161
rev 1
Level 3
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rev 2
stringclasses 172
values | NIST
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141
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stringclasses 114
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800-171A
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800-172
stringclasses 46
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800-218
v1.1
stringclasses 29
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CSF
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CSF
v2.0 IPD
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Top 10
v2021
stringclasses 20
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v3.2
stringclasses 135
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stringlengths 3
156
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v4.0
SAQ A
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SAQ A-EP
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SAQ B
stringclasses 26
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SAQ B-IP
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SAQ C
stringclasses 132
values | PCIDSS
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SAQ C-VT
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SAQ D Merchant
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SAQ D Service Provider
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v4.0
SAQ P2PE
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stringlengths 3
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CSF
v2023
stringclasses 55
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2900-1
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R155
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values | UN
ECE WP.29
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C2M2
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CERT RMM
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values | US
CISA
CPG
v2022
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CMMC 2.0
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CMMC 2.0
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CMMC 2.1 (draft)
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CMMC 2.1 (draft)
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CMMC 2.1 (draft)
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stringclasses 141
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CMS
MARS-E v2.0
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COPPA
float64 6.5k
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DFARS
Cybersecurity
252.204-70xx
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FACTA
stringclasses 2
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FAR
52.204-21
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FAR
52.204-27
stringclasses 2
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FAR
Section 889
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FDA
21 CFR Part 11
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FedRAMP
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24
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FedRAMP
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FedRAMP
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23
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FedRAMP
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24
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FedRAMP
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FedRAMP
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24
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FedRAMP
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FedRAMP
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23
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FedRAMP
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24
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FERPA
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FFIEC
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values | US
FINRA
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FTC Act
stringclasses 1
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GLBA
CFR 314
stringclasses 41
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HIPAA
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Small Practice
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values | HIPAA - HICP
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values | HIPAA - HICP
Large Practice
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IRS 1075
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165
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ITAR Part 120
(limited)
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NERC
CIP
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NISPOM
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NNPI
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stringclasses 61
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NSTC
NSPM-33
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Privacy Shield
stringclasses 7
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SEC
Cybersecurity Rule
stringclasses 12
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SOX
stringclasses 1
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SSA
EIESR
v8.0
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StateRAMP
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StateRAMP
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1580/82-2022-01
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PIPA
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SB327
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CPRA
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stringclasses 36
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SB1386
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Colorado Privacy Act
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BIPA
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IPA
stringclasses 4
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PIPA
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201 CMR 17.00
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SB220
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DFS
23 NYCRR500
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500
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SHIELD Act
S5575B
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646A
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Insurance Data Security Act
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BC521
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Cybersecurity Act
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TX-RAMP
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SB820
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CDPA
2023
stringclasses 24
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EU
EBA
GL/2019/04
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EU
DORA
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EU ePrivacy
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EU
GDPR
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EU
NIS2
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EU
PSD2
stringclasses 10
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EU
EU-US Data Privacy Framework
stringclasses 23
values | EMEA
Austria
stringclasses 10
values | EMEA
Belgium
stringclasses 9
values | EMEA
Czech Republic
stringclasses 14
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Denmark
stringclasses 11
values | EMEA
Finland
stringclasses 7
values | EMEA
France
stringclasses 9
values | EMEA
Germany
stringclasses 11
values | EMEA
Germany
Banking Supervisory Requirements for IT (BAIT)
stringclasses 57
values | EMEA
Germany
C5-2020
stringclasses 152
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Greece
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Hungary
stringclasses 12
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Ireland
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CDMO
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Kenya
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Luxembourg
stringclasses 4
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Netherlands
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Nigeria
DPR 2019
stringclasses 24
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Norway
stringclasses 12
values | EMEA
Poland
stringclasses 11
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Portugal
stringclasses 11
values | EMEA
Qatar
PDPPL
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values | EMEA
Russia
stringclasses 13
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Saudi Arabia
Critical Security Controls
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Saudi Arabia
SACS-002
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values | EMEA
Saudi Arabia
SAMA CSFv1.0
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Saudi Arabia
ECC-12018
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Saudi Arabia
OTCC-1 2022
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values | EMEA
Serbia
87/2018
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Slovak Republic
stringclasses 2
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South Africa
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values | EMEA
Spain
stringclasses 10
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Spain
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Sweden
stringclasses 11
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Switzerland
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Turkey
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UAE
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UK
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UK
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UK
DPA
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UK
GDPR
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Australia
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Australia
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Australia
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ML 3
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Australia
Privacy Act
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Australian Privacy Principles
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Australia
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214
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Australia
IoT Code of Practice
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Australia
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Australia
Prudential Standard CPS234
stringclasses 34
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China
Data Security Law (DSL)
stringclasses 6
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China
DNSIP
stringclasses 3
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China
Privacy Law
stringclasses 57
values | APAC
Hong Kong
stringclasses 8
values | APAC
India
ITR
stringclasses 4
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Indonesia
stringclasses 7
values | APAC
Japan
APPI
stringclasses 31
values | APAC
Japan
ISMAP
stringclasses 188
values | APAC
Malaysia
stringclasses 8
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New Zealand Health ISF
stringclasses 22
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New Zealand
NZISM 3.6
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New Zealand Privacy Act of 2020
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Philippines
stringclasses 12
values | APAC
Singapore
stringclasses 15
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Singapore
Cyber Hygiene Practice
stringclasses 12
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Singapore MAS
TRM 2021
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South Korea
stringclasses 22
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Taiwan
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Argentina
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Argentina
Reg 132-2018
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BMACCC
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Brazil
LGPD
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Canada
CSAG
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Canada
OSFI B-13
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Canada
PIPEDA
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Colombia
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Costa Rica
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Mexico
stringclasses 14
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Peru
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Uruguay
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MCR + DSR
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float64 | Identify
Discretionary Security Requirements (DSR)
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Business Mergers & Acquisitions
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Cyber Insurance Duty of Care
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Embedded
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Ransomware Protection
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---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PR.DS-P6
PR.DS-P8 | null | null | null | SI-7(5) | null | null | SI-7(5) | SI-7(5) | null | null | null | SI-7(5) | null | null | null | null | SI-7(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | J.2.13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7(5) | null | null | SI-7(5) | null | SI-7(5) | null | null | SI-7(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Endpoint Security | Boot Process Integrity | END-06.5 | Automated mechanisms exist to verify the integrity of the boot process of information systems. | null | null | Does the organization use automated mechanisms to verify the integrity of the boot process of information systems? | 5 | Protect | null | 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 | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7(9) | null | null | null | SI-7(9) | null | null | null | null | SI-7(9) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.14.1e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | H.14 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.14.1e | null | null | SI.L3-3.14.1e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Endpoint Security | Protection of Boot Firmware | END-06.6 | Automated mechanisms exist to protect the integrity of boot firmware in information systems. | null | null | Does the organization use automated mechanisms to protect the integrity of boot firmware in information systems? | 5 | Protect | null | 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 | null | null | null | null | null | null | null | null | null | CCM-06 | null | null | EDR 3.14 (13.9.3(1))
HDR 3.14 (14.9.3(1))
NDR 3.14 (15.11.3(1)) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7(10) | null | null | null | SI-7(10) | null | null | null | null | SI-7(10) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | H.14 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7(10) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7(14) | null | null | SI-7(14) | CM-7(8) | null | null | null | null | CM-7(8) | null | null | null | null | null | CM-7(8)
SI-7(14) | null | null | null | CM-7(8)
SI-7(14) | CM-7(8)
SI-7(14) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.39 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-7(14) | null | null | SI-7(14) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | 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 | 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 | null | 13.2
13.7 | null | 13.2 | 13.2
13.7 | null | null | null | SAP-06 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.14.6.a
3.14.6.a.1
3.14.6.a.2
3.14.6.b
3.14.6.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.6 | null | null | null | null | null | null | null | null | 5.10.1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1.L.A
2.L.C
2.L.D | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.4
7.5
12.18
12.24
23.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.6.1 [OP.MON.1] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1341
1034
1418
0345 | null | null | null | null | null | null | null | null | null | null | null | null | null | 18.4.13.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | 4.3
4.4 | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | 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 | 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 | null | null | 9.6 | null | 9.6 | 9.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | SI-8 | null | SI-8 | SI-8 | SI-8 | null | null | SI-8 | SI-8 | null | null | null | SI-8 | SI-8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.4.1 | null | 5.4.1 | null | null | 5.4.1 | 5.4.1 | 5.4.1 | 5.4.1 | null | D.11 | null | null | null | null | null | null | null | 8.3 | 5.10.4.3 | null | null | null | null | null | null | SI-8 | null | null | null | null | null | null | null | SI-8 | null | SI-8 | SI-8 | null | SI-8 | null | SI-8 | SI-8 | null | null | null | null | null | null | null | 1.S.A
8.S.A | 1.M.A | 1.M.A
1.L.A | SI-8 | null | null | 8-302 | null | null | null | null | null | null | null | SI-8 | SI-8 | III.D.1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TPC-16 | null | 2-4-3-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | 14.1.6 | null | null | null | null | null | null | null | 4.3
4.4 | null | null | null | null | null | null | null | null | null | null | null | x | Lockton | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | Central Management | END-08.1 | Mechanisms exist to centrally-manage anti-phishing and spam protection technologies. | null | null | Does the organization centrally-manage anti-phishing and spam protection technologies? | 5 | Protect | X | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.8 | null | null | null | null | null | null | SI-8(1) | null | SI-8(1) | SI-8(1) | PL-9 | PL-9 | null | null | null | null | null | null | null | null | null | PL-9 | null | null | PL-9 | PL-9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | D.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-8(1) | null | null | null | null | null | null | null | SI-8(1) | null | SI-8(1) | SI-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | 1.S.A | 1.M.A | 1.M.A
1.L.A | null | null | null | null | null | null | null | null | null | null | null | null | SI-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.3
4.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-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 | 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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.8 | null | null | null | null | null | null | SI-8(2) | null | SI-8(2) | SI-8(2) | SI-8(2) | null | null | SI-8(2) | SI-8(2) | null | null | null | SI-8(2) | SI-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | U.1.5.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-8(2) | null | null | null | null | null | null | null | SI-8(2) | null | SI-8(2) | SI-8(2) | null | SI-8(2) | null | SI-8(2) | SI-8(2) | null | null | null | null | null | null | null | 1.S.A
8.S.A | 1.M.A | 1.M.A
1.L.A | SI-8(2) | null | null | null | null | null | null | null | null | null | null | null | SI-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-11 | null | null | null | SC-11 | null | null | null | null | SC-11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | H.4 | null | null | null | null | null | null | KIM:SG4.SP1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.37 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | Mobile Code | END-10 | Mechanisms exist to address mobile code / operating system-independent applications. | null | null | Does the organization address mobile code / operating system-independent applications? | 4 | Detect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | SC-18
SC-18(1)
SC-18(2)
SC-18(3)
SC-18(4)
SC-27 | null | SC-18 | SC-18 | SC-18
SC-18(1)
SC-18(2)
SC-18(3)
SC-18(4)
SC-27 | null | null | SC-18 | SC-18 | SC-18(1)
SC-18(2)
SC-18(3)
SC-18(4)
SC-27 | null | null | SC-18 | SC-18 | null | SC-18
SC-18(2)
SC-27 | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | U.1.15.1 | null | null | null | null | null | null | null | null | null | null | SC.L2-3.13.13 | SC.L2-3.13.13
TBD - 3.13.1e | null | SC.L2-3.13.13 | SC.L2-3.13.13 | SC-18 | null | null | null | null | null | null | null | SC-18 | null | SC-18 | SC-18 | null | SC-18 | null | SC-18 | SC-18 | null | null | D3.PC.De.E.5 | null | null | null | null | null | null | 1.L.A
6.L.D | SC-18
SC-18(1)
SC-18(2) | null | null | null | null | null | null | null | null | null | null | null | SC-18 | III.D.1.d | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | Thin Nodes | END-11 | Mechanisms exist to configure thin nodes to have minimal functionality and information storage. | null | null | Does the organization configure thin nodes to have minimal functionality and information storage? | 4 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-25 | null | null | null | SC-25 | null | null | null | null | SC-25 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.13.4e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.22 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.13.4e | null | null | SC.L3-3.13.4e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8-613 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | 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 | null | Does the organization physically disable or remove unnecessary connection ports or input/output devices from sensitive systems? | 6 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | T1025, T1052, T1052.001, T1091, T1200 | null | null | null | null | null | null | null | SC-41 | null | null | null | SC-41 | null | null | null | null | SC-41 | null | SC-41 | SC-41 | SC-41 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.61 | null | null | null | null | null | null | TM:SG2.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - Added NIST 800-53 R5 mapping for SC-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 | 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 | 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 | null | null | null | null | null | null | null | null | null | GVN-06 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-42 | null | null | null | SC-42 | null | null | null | null | SC-42 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.1.63 | null | null | null | null | null | null | TM:SG2.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-42(2) | null | null | null | SC-42(2) | null | null | null | null | SC-42(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.5.2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 5.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 8
Sec 9
Sec 13.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-42(4) | null | null | null | null | SC-42(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.6.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | R-AM-3 | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | Collection Minimization | END-13.3 | Mechanisms exist to utilize sensors that are configured to minimize the collection of information about individuals. | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PM-25
SA-8(33)
SC-42(5) | PM-25
SA-8(33) | null | null | null | SC-42(5) | null | null | null | null | null | PM-25 | null | null | null | PM-25 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6-1-1308(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 10 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | R-AM-3
R-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 | null | null | null | null | null | R-AM-3 | null | null | null | null | null | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | 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 | null | null | null | null | null | null | null | null | null | GVN-06 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-42(1) | null | null | null | null | SC-42(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | P.9.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-15
SC-15(1) | SC-15 | SC-15 | SC-15 | SC-15
SC-15(1) | null | SC-15 | SC-15 | SC-15 | SC-15(1) | null | SC-15 | SC-15 | SC-15 | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.2.4 | null | null | null | null | null | null | null | null | null | null | SC.L2-3.13.12 | SC.L2-3.13.12 | null | SC.L2-3.13.12 | SC.L2-3.13.12 | SC-15 | null | null | null | null | null | null | null | SC-15 | SC-15 | SC-15 | SC-15 | SC-15 | SC-15 | SC-15 | SC-15 | SC-15 | SC-15 | null | null | null | null | null | null | null | null | null | SC-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-15 | SC-15 | SC-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0231 | null | null | null | null | null | Article 26 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Endpoint Security | 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 | null | Does the organization disable or remove collaborative computing devices from critical information systems and secure work areas? | 5 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-15(3) | null | null | null | SC-15(3) | null | null | null | null | SC-15(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | null | Does the organization use automated mechanisms to provide an explicit indication of current participants in online meetings and teleconferences? | 5 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-15(4) | null | null | null | SC-15(4) | null | null | null | null | SC-15(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A.03.13.12.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | M.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-15(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-SA-2 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | R-SA-2 | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
Endpoint Security | Hypervisor Access | END-15 | Mechanisms exist to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems. | null | null | Does the organization restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems? | 9 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | U.1.9.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.10.1.3 | null | null | null | null | null | null | null | null | null | null | null | SC-3 | null | null | SC-3 | SC-3 | null | null | null | SC-3 | null | null | null | null | SC-3 | null | null | null | null | null | null | null | null | null | null | null | 3.14.3e | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | SI.L3-3.14.3e | null | null | null | null | null | null | null | null | SC-3 | null | null | SC-3 | null | SC-3 | null | null | SC-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | 8-105 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-7(12) | null | null | null | SC-7(12) | null | null | null | null | SC-7(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1.4 | 2.2.3 | null | 2.2.3 | null | null | 2.2.3 | null | 2.2.3 | 2.2.3 | null | N.2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-7(12) | null | null | null | null | null | null | null | SC-7(12) | null | SC-7(12) | SC-7(12) | null | SC-7(12) | null | SC-7(12) | SC-7(12) | null | null | null | null | null | null | null | null | null | null | SC-7(12) | null | null | null | null | null | null | null | null | null | null | SC-7(12) | SC-7(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SC-7(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | null | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Human Resources Security | Human Resources Security Management | HRS-01 | Mechanisms exist to facilitate the implementation of personnel security controls. | null | null | Does the organization facilitate the implementation of personnel security controls? | 10 | Protect | X | X | 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 | null | null | 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 | 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 | null | null | null | null | null | null | OR-3.0
PS-2.0 | Sec 4(D)(2)(b) | GOVERN 4.1 | PR.PO-P9 | null | null | null | PS-1 | PS-1 | PS-1 | PS-1 | PS-1 | null | PS-1 | PS-1 | PS-1 | null | null | PS-1 | PS-1 | PS-1 | 3.2.4 | PS-1 | PS-1 | PS-1 | PS-1 | PS-1 | 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 | null | null | PR.IP-11 | GV.RR-02
GV.RR-03
GV.RR-04
PR.AA | null | null | 12.2
12.2.1
12.7
12.7.1 | null | null | null | null | 12.2.1 | null | 12.2.1
12.7.1 | 12.2.1
12.7.1 | null | C.4 | 5.1
5.3A | 2.1.1
7.1.2
8.4.3 | null | null | null | null | HRM:SG3.SP4 | null | 5.12 | null | null | null | null | null | null | PS-1 | null | null | null | null | null | null | null | PS-1 | PS-1 | PS-1 | PS-1 | PS-1 | PS-1 | PS-1 | PS-1 | PS-1 | PS-1 | null | D1.R.St.E.4 | null | null | 314.4(e)(2) | null | 3.S.A | null | null | PS-1
2.C.3 | 120.15
120.16
120.39
120.40
120.41 | null | 8-307 | 2.1
13.1 | null | null | null | null | null | PS-1 | PS-1 | PS-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 38-99-20(D)(2)(b) | null | null | PS-1 | PS-1 | PS-1 | null | null | null | 3.3.2(15) | null | null | Art 32.1
Art 32.2
Art 32.4 | Article 21.2(i) | null | null | Sec 14
Sec 15 | Art 16 | null | null | null | null | null | null | null | null | null | null | 19.1 | null | null | null | null | null | null | null | null | null | null | 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 | null | Sec 19
Sec 20 | null | null | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | 3.5.1
3.5.2 | null | null | null | null | null | 5.13 | null | 1.5 | null | null | null | null | null | null | null | null | null | null | null | x | NAIC | null | 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 | null | null | null | null | null | Principle 2 | null | null | null | null | null | null | null | null | 7.2(a) | null | null | 6.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | null | PS-2 | PS-2 | PS-2 | null | null | PS-2 | PS-2 | PS-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.4
12.4.1 | 12.7
12.7.1 | null | null | null | null | null | null | 12.7.1 | 12.7.1 | null | E.1.3.4 | 5.1 | 2.1.1
7.1.2 | null | null | 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 | null | null | null | null | null | null | null | null | PS-2 | null | null | null | null | null | null | null | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | null | null | null | null | null | null | null | null | null | PS-2 | null | null | 8-307 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-2 | PS-2 | PS-2 | null | null | null | 3.3.2(15) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 19.1 | null | null | null | null | null | null | null | null | null | null | null | 1-5-1-2 | TPC-26 | null | 1-9-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 5.1 | Principle 5.1 | Principle 5.1 | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | null | null | null | null | null | null | Principle 4 | null | null | SO3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.7
12.7.1 | null | null | null | null | null | null | 12.7.1 | 12.7.1 | null | L.5.3 | 5.3A | 2.1.1
7.1.2 | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 120.15
120.16
120.39
120.40
120.41 | null | null | 2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 5.1 | Principle 5.1 | Principle 5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.5.2
6.1.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Human Resources Security | Probationary Periods | HRS-02.2 | Mechanisms exist to identify newly onboarded personnel for enhanced monitoring during their probationary period. | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | SI-4(21) | null | null | null | null | SI-4(21) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | null | 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 | null | null | null | null | null | GOVERN 2.0
GOVERN 2.1 | ID.IM-P2
GV.PO-P2
GV.PO-P3
CM.PO-P2 | PO.2.1 | null | null | PM-13 | null | null | null | PM-13
PS-9 | null | PS-9 | PS-9 | PS-9 | PM-13 | null | PS-9 | PS-9 | PS-9 | null | PM-13 | null | null | PM-13 | PM-13 | null | null | 3.15.3.a | null | null | 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 | null | null | null | null | 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 | 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 | null | 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 | null | null | null | null | null | null | null | PM-13 | null | null | null | null | null | null | null | null | null | null | null | null | PS-9 | PS-9 | PS-9 | PS-9 | PS-9 | null | null | null | null | null | 164.308(a)(2) | null | null | null | PS-9 | null | null | 8-103
8-307 | null | null | null | null | null | 5.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.3.1(12)
3.3.2(15) | Art 5.2(c) | null | null | null | null | null | null | null | null | null | null | null | null | null | PSS-08 | null | null | null | 4.13
18.10 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-26 | 3.1.4 | null | 1-2
1-2-1
1-2-1-1 | null | null | null | null | 6.4 [ORG.4]
8.2.1 [MP.PER.1]
8.2.2 [MP.PER.2] | null | null | null | null | A1.b
C1.e | null | null | null | null | null | null | null | null | null | 0717 | null | null | 14 | Article 27 | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | 1.2 | null | null | null | null | null | null | null | Art 12 | null | null | null | x | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | null | null | null | null | null | null | Principle 4 | null | null | null | null | null | null | null | null | 7.3
7.3(a)
7.3(b)
7.3(c) | null | null | null | null | null | null | null | null | null | null | null | GOVERN 4.1 | GV.PO-P2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.3.a
3.15.3.b | null | null | null | null | null | null | null | 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 | 12.1.3 | 12.1.3 | 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 | 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 | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | 0824 | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AC-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 | 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 | null | null | null | null | APO01.08 | Principle 2
Principle 3
Principle 5
Principle 12 | null | null | SO6 | null | null | RQ-05-07 | 7.2 | 7.2 | 7.2
7.2(a)
7.2(b)
7.2(c)
7.2(d) | null | null | null | null | null | null | null | null | null | null | null | GOVERN 4.1
MAP 1.2
MAP 3.4 | null | null | null | null | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | null | PS-2 | PS-2 | PS-2 | null | null | PS-2 | PS-2 | PS-2 | null | null | null | null | null | null | null | null | 3.7.6.d | null | null | null | PO.2
PO.2.1
PO.2.2
PO.2.3 | null | null | null | null | 6.2.2 | null | 6.2.2 | null | null | 6.2.2 | null | 6.2.2 | 6.2.2 | null | E.1.5 | null | 2.1.1
7.1.2 | null | null | 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 | null | null | null | null | null | null | null | PS-2 | null | null | null | null | null | null | § 11.10
§ 11.10(i) | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | PS-2 | null | null | null | null | 314.4(e)(2) | null | null | null | null | null | 120.15
120.16
120.39
120.40
120.41 | null | 8-307 | 2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-2 | PS-2 | PS-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TPC-26 | null | 1-9-2 | null | null | null | null | null | null | null | null | null | null | B4.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | 5.1.14.C.01 | null | null | null | null | 3.5.1
6.1.5 | null | null | null | null | null | null | null | 1.5
1.7 | null | null | null | null | null | null | null | null | null | null | null | x | null | null | 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 | 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 | 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 | null | null | null | null | null | Principle 4 | HRS-01 | null | SO5 | null | null | null | null | 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 | null | null | null | OR-3.0
OR-3.1 | null | null | null | null | null | null | PS-3 | PS-3 | PS-3 | PS-3 | PS-3 | null | PS-3 | PS-3 | PS-3 | null | null | PS-3 | PS-3 | PS-3 | null | PS-3 | PS-3 | PS-3 | null | PS-3 | 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 | null | PR.AA-02 | null | 12.7 | 12.7
12.7.1 | null | null | null | null | null | null | 12.7.1 | 12.7.1 | null | E.1.3 | 5.3A | 2.1.1 | null | null | null | WORKFORCE-1.A.MIL1
WORKFORCE-1.F.MIL3 | null | 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.L2-3.9.1 | PS-3 | null | null | null | null | null | null | null | PS-3 | PS-3 | PS-3 | PS-3 | PS-3 | PS-3 | PS-3 | PS-3 | PS-3 | PS-3 | null | null | null | null | null | null | null | null | 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 | null | null | null | null | PS-3 | PS-3 | PS-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-3 | PS-3 | PS-3 | null | null | null | null | null | null | Art 32.1
Art 32.2
Art 32.4 | null | null | null | null | null | null | null | null | null | null | null | HR-01 | null | null | null | 19.2 | null | null | null | null | null | null | null | null | null | null | null | 1-5-1-1 | null | null | 1-9-3
1-9-3-2 | 1-7-1 | null | null | Sec 19
Sec 20 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0434 | null | null | null | null | null | null | null | null | null | null | 7.1.1 | null | null | null | null | null | null | null | 3.5.2 | null | null | null | null | null | 5.13 | null | 1.6 | null | null | null | null | null | null | null | null | null | null | null | x | null | 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 | 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 | null | null | null | null | null | DSS06.03 | Principle 4 | null | null | SO5 | null | null | null | null | null | null | null | 5.2
6.1 | null | null | null | null | null | null | null | OR-3.0
OR-3.1 | null | GOVERN 2.0
GOVERN 4.1 | ID.IM-P2
CM.PO-P2 | null | null | null | PS-3(1)
PS-3(3) | null | null | null | PS-3(1)
PS-3(3) | null | null | null | null | PS-3(1)
PS-3(3) | null | null | null | null | null | null | null | null | null | null | null | null | 3.9.1.a
3.9.1.b | null | null | 3.9.2e | PO.2
PO.2.1
PO.2.2
PO.2.3 | null | PR.AA-02 | null | null | 12.7
12.7.1 | null | null | null | null | null | null | 12.7.1 | 12.7.1 | null | E.1.3 | 5.1
5.3A | null | null | null | null | WORKFORCE-1.F.MIL3 | null | null | null | null | null | TBD - 3.9.2e | null | null | PS.L3-3.9.2e | null | null | null | null | null | null | null | null | PS-3(3) | null | PS-3(3) | PS-3(3) | null | PS-3(3) | null | PS-3(3) | PS-3(3) | null | null | null | null | null | 314.4(e)(2) | null | null | null | null | null | 120.15
120.16
120.39
120.40
120.41 | CIP-004-6
R3 | null | 2.4
13.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | HR-01
PSS-08 | null | null | null | 19.2 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-26 | null | 1-9-3-2 | 1-7-1 | null | null | null | null | null | null | null | null | null | B4.c | null | null | null | null | null | null | null | null | null | 0446
0447 | null | null | null | Article 27 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.5.2 | null | null | null | null | null | null | null | 1.6 | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | null | null | null | null | null | null | Principle 4 | null | null | null | null | null | null | null | null | 7.3
7.3(a)
7.3(b)
7.3(c) | null | 5.4 | null | null | null | null | null | null | null | OR-3.1 | null | null | null | null | null | null | PS-3(2) | null | null | null | PS-3(2) | null | null | null | null | PS-3(2) | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.3.a
3.15.3.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.1.3 | null | 2.1.2
2.1.3 | null | null | null | WORKFORCE-1.E.MIL2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TPC-26
TPC-71 | null | 1-9-4
1-9-4-1 | 1-8 | null | null | null | null | null | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | 0435 | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.8 | null | null | 9.1.7.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-3(4) | null | null | null | null | PS-3(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-5-1-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0420
0409
0411
0446
0447
1773 | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Human Resources Security | Citizenship Identification | HRS-04.4 | Mechanisms exist to identify foreign nationals, including by their specific citizenship. | null | null | Does the organization identify foreign nationals, including by their specific citizenship? | 3 | Identify | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0420 | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | null | null | null | null | null | null | Principle 1 | HRS-02
HRS-03 | null | null | null | null | null | null | 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 | null | null | null | OR-3.0
OR-3.1
PS-2.0 | null | null | null | null | null | null | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | null | null | PL-4 | PL-4 | PL-4 | null | null | null | null | null | null | null | NFO - PL-4 | 3.15.3.a
3.15.3.b
3.15.3.c | null | null | null | null | null | GV.RR-02 | null | null | 12.1.3
12.2
12.2.1 | null | 12.1.3 | 12.1.3 | 12.1.3 | 12.1.3
12.2.1 | null | 12.1.3
12.2.1 | 12.1.3
12.2.1 | 12.1.3 | E.1.4.1 | null | 2.1.2
2.1.3
2.1.4 | null | null | null | WORKFORCE-1.E.MIL2 | HRM:SG2.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2.4 | null | null | null | null | 5.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | HR-02
HR-03
AM-05 | null | null | null | 5.1
19.3
19.4 | null | null | null | null | null | null | null | null | null | null | null | 2-5 | TPC-26 | null | 1-9-3-1
1-9-3-2
1-9-4-2 | null | null | null | null | null | 8.2.2 [MP.PER.2] | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.8
7.1.2
7.2.1
13.2.1 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AC-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 | 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 | X | 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 | 9.4 | null | Principle 1 | HRS-02 | SAP-05 | null | null | null | null | null | 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 | null | null | null | OR-1.1 | null | GOVERN 2.0
GOVERN 4.1 | null | null | null | null | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | null | null | PL-4 | PL-4 | PL-4 | null | PL-4 | PL-4 | null | null | PL-4 | 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 | null | 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 | 12.1.3 | 12.1.3
12.2.1 | null | 12.1.3
12.2.1 | 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 | null | null | WORKFORCE-1.E.MIL2 | AM:SG1.SP1
HRM:SG2.SP2 | null | null | null | null | null | AC.L1-b.1.iv | null | null | PL-4 | null | null | null | 52.204-21(b)(1)(iv) | null | 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(1) | PL-4 | PL-4
PL-4(1) | PL-4 | PL-4
PL-4(1) | PL-4
PL-4(1) | PL-4 | null | null | null | null | null | 164.310(b) | 10.S.A | null | null | PL-4 | null | null | 8-103 | 2.4 | null | null | null | null | 5.10 | PL-4 | PL-4 | PL-4
PL-4(1) | null | null | null | null | null | null | null | null | null | 17.03(2)(b)(2) | null | null | null | null | null | null | null | PL-4 | PL-4 | PL-4 | null | null | § 2447(b)(2)(B) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | HR-03 | null | null | null | 5.1
15.6
19.3
19.6 | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | 1146
0824
0258 | null | null | null | null | null | null | null | null | null | Article 21 | 4.5.2
4.5.2.8
7.2.1
8.1.3
13.2.1 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21
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 | 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 | 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 | null | null | 9.0 | null | null | null | null | null | HRS-02 | null | null | null | null | null | null | 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 | null | null | null | null | null | OR-1.1 | null | null | null | null | null | null | PL-4(1) | null | PL-4(1) | PL-4(1) | PL-4(1) | PL-4(1) | PL-4(1) | PL-4(1) | PL-4(1) | null | null | PL-4(1) | PL-4(1) | PL-4(1) | null | null | null | null | null | null | null | NFO - PL-4(1) | 3.15.3.a
3.15.3.b
3.15.3.c | null | null | null | null | null | GV.RR-02 | null | null | null | null | null | null | null | null | null | null | null | null | L.21 | null | 2.1.2
2.1.3 | null | null | null | WORKFORCE-1.E.MIL2 | null | null | null | null | null | null | AC.L1-b.1.iv | null | null | PL-4(1) | null | null | null | 52.204-21(b)(1)(iv) | null | null | null | PL-4(1) | null | PL-4(1) | PL-4(1) | null | PL-4(1) | PL-4(1) | PL-4(1) | PL-4(1) | PL-4(1) | null | null | null | null | null | null | null | null | null | PL-4(1) | 120.11 | null | null | null | null | null | null | null | null | null | null | PL-4(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PL-4(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.13
19.6
19.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-9-4-2 | null | null | null | null | null | null | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | 0820
0821 | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.8
8.1.3 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | FAR 52.204-21 | null | null | R-AC-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | 9.4 | null | 9.4 | 9.4 | null | null | HRS-02 | SAP-05 | null | null | null | null | null | 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 | null | null | null | null | null | OR-1.1 | null | null | null | null | null | null | SC-19 | null | SC-19 | SC-19 | PL-4 | PL-4 | PL-4 | PL-4 | PL-4 | null | null | PL-4 | PL-4 | PL-4 | null | PL-4 | PL-4 | null | null | PL-4 | PL-4 | null | 3.15.3.a
3.15.3.b
3.15.3.c | null | null | null | null | null | GV.RR-02 | null | null | 12.2
12.2.1 | null | null | null | null | 12.2.1 | null | 12.2.1 | 12.2.1 | null | D.2 | null | 2.1.2
2.1.3
2.1.4 | null | null | null | WORKFORCE-1.E.MIL2 | null | null | 5.10.1.4
5.10.2 | null | null | null | null | null | null | SC-19
SC-ACA-1
SC-ACA-2 | null | null | null | null | null | null | null | SC-19 | null | SC-19 | SC-19 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PL-4 | null | null | 8-700 | null | null | null | null | null | null | null | null | SC-19 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PL-4 | null | SC-19 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.4
9.5
15.6
19.6 | null | null | null | null | null | null | null | null | null | null | null | 2-5 | TPC-8
TPC-9 | null | 1-9-4-2
2-1-3
2-6-4
2-15-3-4 | null | null | null | null | null | null | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | 0824
1078
0229
0230
0233
0235
0236
0931
1562
0588
1092
0241
1075
1196
1200
1198
1199 | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.8
8.1.3 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-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 | 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 | 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 | null | null | null | null | null | null | null | null | HRS-02 | SAP-05 | null | null | null | null | null | null | 7.3
7.3(a)
7.3(b)
7.3(c) | 8.1.3 | null | 8.1.3 | null | null | null | null | null | null | OR-1.1 | null | GOVERN 2.0
GOVERN 4.1 | ID.BE-P3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.3.a
3.15.3.b
3.15.3.c | null | null | null | null | 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 | null | null | null | 12.2.1 | null | 12.2.1 | 12.2.1 | null | D.2 | null | 2.1.2
2.1.3
2.1.4 | null | null | null | WORKFORCE-1.E.MIL2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 15.6
19.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-9-4-2
2-1-3 | null | null | null | null | null | null | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 | 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 | null | null | null | null | null | null | null | null | HRS-02 | SAP-05 | null | null | null | null | null | null | 7.3
7.3(a)
7.3(b)
7.3(c) | 8.1.3 | 6.2 | 8.1.3 | null | null | null | null | null | null | OR-1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.3.a
3.15.3.b
3.15.3.c | null | null | null | null | null | GV.RR-02 | null | null | null | null | null | null | null | null | null | null | null | null | M.1.15 | null | 2.1.2
2.1.3
2.1.4
8.2.6
8.2.7 | null | null | null | WORKFORCE-1.E.MIL2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AM-05 | null | null | null | 13.2
13.3
13.7
13.10
15.6
19.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-9-4-2 | null | null | null | null | null | null | null | null | null | null | B6.a | null | null | null | null | null | null | null | null | null | 0229
0230
1082
1196
1200
1198
1199
1366
0874
0705
1083
0240
0866
1145
0871
0870
1084
0701
0702 | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.8
8.1.3 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | null | R-AC-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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-2.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | F.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-3
R-EX-4
R-EX-5
R-GV-1
R-GV-2
R-GV-4
R-GV-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | R-GV-2 | null | R-GV-4 | R-GV-5 | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.3
7.3(c) | null | null | null | null | null | null | null | null | null | OR-3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.15.3.b | null | null | null | null | null | null | null | null | 12.6.3 | null | null | null | null | null | null | 12.6.3 | 12.6.3 | null | P.3.1.1 | null | null | null | null | null | WORKFORCE-1.E.MIL2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TPC-26
TPC-71 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | MT-8 | MT-9 | null | null | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | null | null | null | null | Principle 5 | HRS-07 | null | null | null | null | null | null | null | null | 13.2.2 | 5.10
5.14 | 13.2.2 | null | 6.10.2.2 | null | null | null | null | OR-3.1
PS-1.1 | null | null | null | null | null | null | PS-6
PS-6(2) | PS-6 | PS-6 | PS-6 | PS-6
PS-6(2) | PS-6 | PS-6 | PS-6 | PS-6 | PS-6(2) | null | PS-6 | PS-6 | PS-6 | null | PS-6 | PS-6 | PS-6 | null | PS-6 | PS-6 | NFO - PS-6 | 3.15.3.b | null | A.03.15.03.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.1.4.1 | null | null | null | null | null | WORKFORCE-1.E.MIL2 | null | null | null | null | null | null | null | null | null | PS-6 | null | null | null | null | null | null | null | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | null | null | null | null | null | null | null | null | null | PS-6 | null | null | 8-103
8-104
8-105 | 2.4 | null | null | null | null | null | PS-6 | PS-6 | PS-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-6 | PS-6 | PS-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | HR-02 | null | null | null | 19.6 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-9
TPC-71 | null | 1-9-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 21 | 13.2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | null | null | null | null | Principle 5 | HRS-07
HRS-10 | null | null | null | null | null | null | null | null | 13.2.2
13.2.4 | 5.14
6.6 | 13.2.2
13.2.4 | null | null | null | null | null | null | OR-3.1
PS-1.1 | null | null | null | null | null | null | PS-6
PS-6(2) | PS-6 | PS-6 | PS-6 | PS-6
PS-6(2) | PS-6 | PS-6 | PS-6 | PS-6 | PS-6(2) | null | PS-6 | PS-6 | PS-6 | null | PS-6 | PS-6 | PS-6 | null | PS-6 | PS-6 | null | 3.15.3.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.1.4.3 | null | 6.1.2
8.2.1
8.2.6
8.2.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-6 | null | null | null | null | null | null | null | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | PS-6 | null | null | null | null | null | null | null | null | null | PS-6 | null | null | 8-103
8-104
8-105 | 13.2 | null | null | null | null | null | PS-6 | PS-6 | PS-6 | null | null | null | null | null | 6-1-1305(3)(a) | null | null | null | null | null | null | null | null | null | null | null | PS-6 | PS-6 | PS-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | HR-06
IDM-08
PSS-07 | null | null | null | 19.4 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-9
TPC-71 | null | 1-9-3-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 21 | 13.2.2
13.2.4 | null | null | 9.1.8.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OR-3.1 | null | null | null | null | null | null | PS-6(3) | null | null | null | PS-6(3) | null | null | null | null | PS-6(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.2.1 | null | null | null | null | null | null | HRM:SG4.SP3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-6(3) | null | null | null | 13.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null |
Human Resources Security | Personnel Sanctions | HRS-07 | Mechanisms exist to sanction personnel failing to comply with established security policies, standards and procedures. | null | null | Does the organization sanction personnel failing to comply with established security policies, standards and procedures? | 9 | Respond | X | 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 | null | null | null | null | null | Principle 5 | null | null | SO8 | null | null | null | null | null | null | 7.2.3
7.3 | 6.4 | 7.2.3
7.3 | null | 6.4.2.3 | null | null | null | null | OR-3.1 | null | null | null | null | null | null | PS-8 | PS-8 | PS-8 | PS-8 | PS-8 | null | PS-8 | PS-8 | PS-8 | null | null | PS-8 | PS-8 | PS-8 | null | null | null | null | null | null | null | NFO - PS-8 | null | 3.9.2[a]
3.9.2[b]
3.9.2[c] | null | 3.9.2e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.1.7 | null | null | null | null | 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 | null | TBD - 3.9.2e | null | null | PS.L3-3.9.2e | PS-8 | null | null | null | null | null | null | null | PS-8 | PS-8 | PS-8 | PS-8 | PS-8 | PS-8 | PS-8 | PS-8 | PS-8 | PS-8 | null | null | null | null | null | 164.308(a)(1)(ii)(C)
164.530(e)
164.530(e)(1)
164.530(e)(2) | null | null | null | 2.C.4
2.C.4.2
PS-8 | null | null | 1-304 | 13.3 | null | null | null | null | 5.3 | PS-8 | PS-8 | PS-8 | null | null | null | null | null | null | null | null | null | 17.03(2)(d) | null | null | null | null | null | null | null | PS-8 | PS-8 | PS-8 | null | null | § 2447(b)(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | HR-04 | null | null | null | 19.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.5.2
4.5.2.8
7.2.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | MA 201 CMR 17 | null | 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 | 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 | null | Does the organization conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated? | 8 | Respond | X | 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 | null | null | null | null | null | Principle 1
Principle 5 | null | null | null | null | null | null | null | null | null | null | 6.4 | null | null | null | null | null | null | null | OR-3.1
PS-2.0 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.9.2e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.3 | null | null | null | null | null | null | HRM:SG4.SP3 | null | null | null | null | TBD - 3.9.2e | null | null | PS.L3-3.9.2e | null | null | null | FACTA | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-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 | 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 | 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 | null | null | null | null | null | null | Principle 5 | HRS-06
IAM-07 | null | null | null | null | null | null | null | null | 7.3.1 | 6.5 | 7.3.1 | null | null | null | null | null | null | OR-3.1 | null | null | null | null | null | null | PS-5 | PS-5 | PS-5 | PS-5 | PS-5 | null | PS-5 | PS-5 | PS-5 | null | null | PS-5 | PS-5 | PS-5 | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.2 | null | null | null | null | 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 | PS.L2-3.9.2 | null | PS.L2-3.9.2 | PS.L2-3.9.2 | PS-5 | null | null | null | null | null | null | null | PS-5 | PS-5 | PS-5 | PS-5 | PS-5 | PS-5 | PS-5 | PS-5 | PS-5 | PS-5 | null | null | null | null | null | null | 3.S.A | null | null | 2.C.4.1
PS-5 | null | null | 8-303
5-309 | 13.2 | null | null | null | null | null | PS-5 | PS-5 | PS-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-5 | PS-5 | PS-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | HR-05
IDM-04 | null | null | null | 19.9 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0430 | null | null | null | null | null | null | null | null | null | null | 7.3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 | null | null | null | null | null | null | Principle 5 | HRS-06 | null | null | null | null | null | null | null | null | 7.3.1 | 6.5 | 7.3.1 | null | 6.4.3
6.4.3.1 | null | null | null | null | OR-3.1 | null | null | null | null | null | null | PS-4 | PS-4 | PS-4 | PS-4 | PS-4 | null | PS-4 | PS-4 | PS-4 | null | null | PS-4 | PS-4 | PS-4 | null | null | null | null | null | null | 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 | null | null | null | null | null | 8.2.5 | 8.2.5 | 8.2.5 | null | null | 8.2.5 | 8.2.5 | 8.2.5 | 8.2.5 | null | E.2.1 | null | null | null | null | 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 | PS.L2-3.9.2 | null | PS.L2-3.9.2 | PS.L2-3.9.2 | PS-4 | null | null | null | null | null | null | null | PS-4 | PS-4 | PS-4 | PS-4 | PS-4 | PS-4 | PS-4 | PS-4 | PS-4 | PS-4 | null | null | null | null | null | null | 3.S.A | null | null | 2.C.4.4
PS-4 | null | null | 8-303
5-309 | 13.2 | null | null | null | null | null | PS-4 | PS-4 | PS-4 | null | null | null | null | null | null | null | null | null | 17.03(2)(e) | null | null | null | null | null | null | null | PS-4 | PS-4 | PS-4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | HR-05 | null | null | null | 19.9
19.10 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-6
TPC-18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0430 | null | null | null | null | null | null | null | null | null | null | 7.3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | MA 201 CMR 17 | null | 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 | 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 | null | null | null | null | null | null | Principle 5 | HRS-05 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OR-3.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.2.2 | null | null | null | null | null | null | HRM:SG4.SP2
HRM:SG4.SP3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 19.10 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 | 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 | null | null | null | null | null | null | Principle 5 | HRS-06
IAM-07 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OR-3.1 | null | null | null | null | null | null | null | null | null | null | AC-2(13) | null | null | AC-2(13) | AC-2(13) | null | null | null | AC-2(13) | AC-2(13) | null | null | null | null | null | null | null | null | 3.1.1.f.3
3.9.2.a.1
3.9.2.a.2
3.9.2.a.3 | null | null | 3.9.2e | null | null | null | null | null | 8.2.5 | 8.2.5 | 8.2.5 | null | null | 8.2.5 | 8.2.5 | 8.2.5 | 8.2.5 | null | F.1.2.8.1 | null | null | null | null | null | null | HRM:SG4.SP3 | 1.7 | null | null | null | TBD - 3.9.2e | null | null | PS.L3-3.9.2e | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-2(13) | null | AC-2(13) | AC-2(13) | null | null | null | null | null | null | null | 3.S.A | null | null | AC-2(13) | null | null | null | 13.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 19.10 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-6
TPC-18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 | null | null | null | null | null | null | Principle 5 | null | null | null | null | null | null | null | null | null | null | 6.5 | null | null | null | null | null | null | null | OR-3.1 | null | null | null | null | null | null | PS-4(1) | null | null | null | PS-4(1) | null | null | null | null | PS-4(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.2.1 | null | null | null | null | null | null | HRM:SG4.SP3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 13.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 19.10 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-18 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-4(2) | null | null | PS-4(2) | PS-4(2) | null | null | null | PS-4(2) | null | null | null | null | PS-4(2) | null | null | null | null | null | null | null | null | 3.1.1.g
3.1.1.g.1
3.1.1.g.2
3.1.1.g.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | E.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-4(2) | null | null | PS-4(2) | null | PS-4(2) | null | null | PS-4(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | TPC-6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | null |
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 | null | null | null | null | null | null | Principle 12 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OR-3.1 | null | null | null | null | null | null | PS-7 | PS-7 | PS-7 | PS-7 | PS-7 | null | PS-7 | PS-7 | PS-7 | null | null | PS-7 | PS-7 | PS-7 | null | PS-7 | PS-7 | null | null | PS-7 | null | NFO - PS-7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B.1.1.2.2
| 5.3A | null | null | null | null | null | AM:SG1.SP1
OPD:SG1.SP6 | null | null | null | null | null | null | null | null | PS-7 | null | null | null | null | null | null | null | PS-7 | PS-7 | PS-7 | PS-7 | PS-7 | PS-7 | PS-7 | PS-7 | PS-7 | PS-7 | null | null | null | null | null | null | null | null | null | 1.9.3
PS-7 | null | null | 8-304 | 13.1 | null | null | null | null | null | PS-7 | PS-7 | PS-7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PS-7 | PS-7 | PS-7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 19.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1-9-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 | 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 | null | null | null | null | null | Principle 10 | IAM-04 | null | null | null | null | null | null | null | null | null | 5.3
5.18 | 6.1.2 | null | null | null | null | null | T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.006, 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 | null | PR.AC-P4 | null | null | null | AC-5 | null | AC-5 | AC-5 | AC-5 | null | null | AC-5 | AC-5 | null | null | null | AC-5 | AC-5 | null | AC-5 | null | AC-5 | null | AC-5 | 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 | null | null | null | null | 6.4.2 | 6.5.4 | null | null | null | null | null | null | 6.5.4 | 6.5.4 | null | H.2.2 | 5.1 | null | null | null | null | ACCESS-2.E.MIL2 | AM:SG1.SP1
ID:SG1.SP1
ID:SG1.SP2
ID:SG1.SP3 | null | null | null | AC.L2-3.1.4 | AC.L2-3.1.4 | null | AC.L2-3.1.4 | AC.L2-3.1.4 | AC-5 | null | null | null | null | null | null | null | AC-5 | null | AC-5 | AC-5 | null | AC-5 | null | AC-5 | AC-5 | null | null | null | null | null | null | null | null | null | 3.L.C | AC-5 | null | null | 8-611 | null | null | null | null | null | 5.7 | null | null | null | III.C.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-5 | null | AC-5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | OIS-04
IDM-01 | null | null | null | 4.11
10.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.2.3 [OP.ACC.3] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 9.1.1 | null | null | null | null | null | null | null | null | 2.5.2 | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-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 | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | null | null | null | null | null | null | DSS06.03 | null | CEK-02 | null | null | null | null | null | null | null | null | 6.1.2 | 5.3 | 6.1.2 | null | 6.3.1.2 | null | null | null | null | null | null | null | ID.IM-P2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.4.a | null | A.03.01.04.a
A.03.01.04.b | null | PO.2
PO.2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | I.1.13.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PSS-08 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Article 27 | null | null | null | null | null | null | 6.1.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-3(2) | null | null | null | AC-3(2) | null | null | null | null | AC-3(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.1e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | G.2.13 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.1.1e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | 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 | 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 | null | null | null | null | APO01.08
APO07.03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.6.3 | null | null | null | null | null | WORKFORCE-3.F.MIL3 | HRM:SG1.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | null | null | null | null | APO01.08
APO07.03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.6.3 | null | null | null | null | null | WORKFORCE-3.F.MIL3 | HRM:SG1.SP3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | null | null | null | null | APO07.02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | G.1.1 | null | null | null | null | null | WORKFORCE-3.F.MIL3 | PM:SG1.SP1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.2.5 [MP.PER.5] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | null | Does the organization establish redundancy for vital cybersecurity & data privacy staff? | 5 | Protect | X | 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 | null | null | null | null | null | null | APO07.03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A.2 | null | null | null | null | null | WORKFORCE-3.F.MIL3 | PM:SG3.SP1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.2.5 [MP.PER.5] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Human Resources Security | Perform Succession Planning | HRS-13.4 | Mechanisms exist to perform succession planning for vital cybersecurity & data privacy roles. | null | null | Does the organization perform succession planning for vital cybersecurity & data privacy roles? | 5 | Protect | X | 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 | null | null | null | null | APO07.03 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | K.1 | null | null | null | null | null | WORKFORCE-3.F.MIL3 | PM:SG3.SP2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.2.5 [MP.PER.5] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Identification & Authentication | Identity & Access Management (IAM) | IAC-01 | Mechanisms exist to facilitate the implementation of identification and access management controls. | null | null | Does the organization facilitate the implementation of identification and access management controls? | 10 | Protect | X | X | 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 | 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 | null | null | 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 | null | null | null | OR-3.1
TS-1.6
TS-1.7 | Sec 4(D)(2)(a) | null | PR.AC-P1 | null | null | null | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | null | null | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | null | AC-1
IA-1 | AC-1
IA-1 | AC-1 | AC-1
IA-1 | AC-1
IA-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 | null | null | 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 | 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 | 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 | 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 | null | null | AC.L1-b.1.i | null | null | AC-1
IA-1 | null | null | null | 52.204-21(b)(1)(i) | null | null | § 11.10
§ 11.10(d)
§ 11.10(g)
§ 11.100
§ 11.100(a)
§ 11.100(b) | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | null | null | null | 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 | 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 | null | null | 5.3
5.6 | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | III.C | 45.48.510 | 1798.91.04(b)
1798.91.04(b)(1)
1798.91.04(b)(2) | null | null | null | null | null | null | null | null | 500.07 | Sec 4(2)(b)(ii)(C)(3) | null | 38-99-20(D)(2)(a) | null | null | AC-1
IA-1 | AC-1
IA-1 | AC-1
IA-1 | null | 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 | null | null | null | null | 6.1
6.2 | IDM-01
PSS-05
PSS-09 | null | null | null | 4.1
4.8
4.34
4.37
12.15
12.28
12.29 | null | null | null | null | null | null | null | null | null | null | 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 | null | Sec 19
Sec 20 | null | 7.2.2 [OP.ACC.2]
7.2.4 [OP.ACC.4] | null | null | null | null | B2.a
B2.d | null | 2 | null | null | null | null | Principle 5.10 | null | null | 1146
1546 | null | null | null | null | null | null | null | null | null | null | 9.1.1 | null | 10.1 | 16.1.31.C.01 | null | null | null | 4.1 | 9.1.2
9.1.3
9.1.8 | null | null | null | null | null | 6.6 | null | 4.22
4.24 | 3.2.7 | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21
NAIC | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | H.2.4.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0407 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1
R-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 | 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 | 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 | 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 | null | null | 6.6 | null | 6.6 | 6.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-4
IA-4(4) | null | IA-4 | IA-4 | IA-4
IA-4(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.5.5.a
3.5.5.b
3.5.5.c
3.5.5.d | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-BC-5
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
R-GV-6
R-GV-7
R-GV-8
R-IR-1
R-IR-2
R-IR-3
R-IR-4
R-SA-1 | R-AC-1 | R-AC-2 | R-AC-3 | R-AC-4 | R-AM-1 | R-AM-2 | R-AM-3 | R-BC-1 | R-BC-2 | R-BC-3 | R-BC-4 | R-BC-5 | R-EX-1 | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | R-EX-6 | R-EX-7 | R-GV-1 | R-GV-2 | R-GV-3 | R-GV-4 | R-GV-5 | R-GV-6 | R-GV-7 | R-GV-8 | R-IR-1 | R-IR-2 | R-IR-3 | R-IR-4 | R-SA-1 | null | NT-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | MT-3 | MT-4 | MT-5 | MT-6 | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | - 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 | 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 | X | 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 | 5.5
5.6
6.7
12.5 | DSS05.04 | null | IAM-13
IAM-16 | null | null | null | CR 1.1 (5.3.1)
CR 1.1 (5.3.3(1)) | null | null | null | null | null | 5.15 | null | A.10.10 | null | null | null | null | T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, 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 | null | PR.AC-P1
PR.AC-P6 | null | null | null | IA-2 | IA-2 | IA-2 | IA-2 | IA-2 | null | IA-2 | IA-2 | IA-2 | null | null | IA-2 | IA-2 | IA-2 | null | IA-2 | IA-2 | IA-2 | IA-2 | IA-2 | 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 | 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 | 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 | 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 | null | null | 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 | IA.L1-3.5.1
IA.L1-3.5.2 | 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.L2-3.5.1
IA.L2-3.5.2 | IA-2 | null | null | null | 52.204-21(b)(1)(i)
52.204-21(b)(1)(v)
52.204-21(b)(1)(vi) | null | null | § 11.10
§ 11.10(d)
§ 11.10(g) | IA-2 | IA-2 | IA-2 | IA-2 | IA-2 | IA-2 | IA-2 | IA-2 | IA-2 | IA-2 | null | null | null | null | null | 164.312(a)(2)(i) | null | null | null | IA-2 | 120.14
120.15
120.16 | null | 8-607 | 7.1 | 6.6
6.7 | null | null | null | 5.3 | IA-2 | IA-2 | IA-2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2 | IA-2 | IA-2 | null | null | § 2447(c)(1)(A)(iv) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IDM-01
PSS-05
PSS-09 | null | null | null | 4.2
4.31
4.34 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-32 | null | 2-2-3 | null | null | null | null | null | null | null | null | null | null | B2.a | null | 2 | null | null | null | null | Principle 5.10 | null | null | 0414 | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21 | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | 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 | null | Does the organization require individuals to be authenticated with an individual authenticator when a group authenticator is utilized? | 7 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(5) | null | null | null | IA-2(5) | null | null | null | IA-2(5) | null | null | null | null | IA-2(5) | null | null | null | null | null | null | null | null | 3.5.12.a | null | null | null | null | null | null | A07:2021 | null | 8.2.2 | 8.2.2 | 8.2.2 | null | 8.2.2 | 8.2.2 | 8.2.2 | 8.2.2 | 8.2.2 | null | H.2.2 | null | null | 8.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(5) | null | IA-2(5) | IA-2(5) | null | IA-2(5) | null | IA-2(5) | IA-2(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.34 | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-7 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0415
1619 | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.1.33.C.01
16.1.33.C.02
16.1.34.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Identification & Authentication | Replay-Resistant Authentication | IAC-02.2 | Automated mechanisms exist to employ replay-resistant authentication. | null | null | Does the organization use automated mechanisms to employ replay-resistant authentication? | 9 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(8)
IA-2(9) | null | IA-2(8) | IA-2(8)
IA-2(9) | IA-2(8) | null | IA-2(8) | IA-2(8) | IA-2(8) | null | 5.2.8 | IA-2(8) | IA-2(8) | IA-2(8) | null | null | null | null | null | null | null | 3.5.4 | 3.5.4
3.7.5.b | 3.5.4 | A.03.05.04 | 3.5.1e | null | null | null | A07:2021 | null | 8.5.1 | null | 8.5.1 | null | null | 8.5.1 | null | 8.5.1 | 8.5.1 | null | H.3.21 | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | IA-2(8)
IA-2(9) | null | IA-2(8) | IA-2(8)
IA-2(9) | null | IA-2(8) | IA-2(8) | IA-2(8) | IA-2(8) | IA-2(8) | null | null | null | null | null | null | null | null | null | IA-2(8) | null | null | null | null | null | null | null | null | null | null | null | IA-2(8) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(8) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.31 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 1603
1055 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | null | null | - 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(12)
IA-8(5) | IA-2(12) | IA-2(12) | IA-2(12) | IA-2(12)
IA-8(5) | null | IA-2(12) | IA-2(12) | IA-2(12) | IA-8(5) | null | IA-2(12) | IA-2(12) | IA-2(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A07:2021 | null | null | null | null | null | null | null | null | null | null | null | P.5.5.6.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(12) | IA-2(12) | IA-2(12) | IA-2(12) | IA-2(12) | IA-2(12) | IA-2(12) | IA-2(12) | IA-2(12) | IA-2(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 5.3 | null | null | IA-2(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(12) | IA-2(12) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-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 | null |
Identification & Authentication | Out-of-Band Authentication (OOBA) | IAC-02.4 | Mechanisms exist to implement Out-of-Band Authentication (OOBA) under specific conditions. | null | null | Does the organization implement Out-of-Band Authentication (OOBA) under specific conditions? | 5 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(13) | null | null | null | IA-2(13) | null | null | null | null | IA-2(13) | 5.1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | H.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-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 | 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 | 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 | 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 | 6.7
12.5 | DSS05.04 | null | IAM-11
IAM-13
IAM-16 | null | null | null | CR 1.1 (5.3.1)
CR 1.1 (5.3.3(1)) | null | null | null | null | null | 5.16 | null | null | null | null | null | 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 | null | null | PR.AC-P1 | null | null | null | IA-8 | IA-8 | IA-8 | IA-8 | IA-8 | null | IA-8 | IA-8 | IA-8 | null | null | IA-8 | IA-8 | IA-8 | null | IA-8 | IA-8 | null | null | IA-8 | 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 | null | null | null | PR.AA-01
PR.AA-03 | A07:2021 | null | null | null | null | null | null | null | null | null | null | null | B.1.1.11
| null | null | null | null | null | 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 | null | null | null | null | null | IA-8 | null | null | null | null | null | null | null | IA-8 | IA-8 | IA-8 | IA-8 | IA-8 | IA-8 | IA-8 | IA-8 | IA-8 | IA-8 | null | null | null | null | null | null | null | null | null | 2.E.6.2
IA-8 | 120.14
120.15
120.16 | null | 8-607 | 7.1 | 6.6
6.7 | null | null | null | 5.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8 | IA-8 | IA-8 | null | null | null | null | null | null | null | null | Art 4 | null | null | null | null | null | null | null | null | null | PSS-05
PSS-09 | null | null | null | 4.2
4.21 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-2-3 | null | null | null | null | null | null | null | null | null | null | B2.a | null | null | null | null | null | null | null | null | null | 1583 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 13
P13-(1)
P13-(2)
P13-(2)(a)
P13-(2)(b)
P13-(3)
P13-(4)(a)
P13-(4)(b)
P13-(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | 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 | null | Does the organization accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties? | 2 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | null | IA-8(1) | IA-8(1) | IA-8(1) | null | null | IA-8(1) | IA-8(1) | IA-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A07:2021 | null | null | null | null | null | null | null | null | null | null | null | P.5.5.6.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | IA-8(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-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 | 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 | null | Does the organization use automated mechanisms to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials? | 2 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(2) | IA-8(2) | IA-8(2) | IA-8(2) | IA-8(2) | null | IA-8(2) | IA-8(2) | IA-8(2) | null | null | IA-8(2) | IA-8(2) | IA-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A07:2021 | null | 8.2.3 | null | null | null | null | null | null | null | 8.2.3 | null | P.5.5.6.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(2)
IA-8(3) | IA-8(2)
IA-8(3) | IA-8(2)
IA-8(3) | IA-8(2)
IA-8(3) | IA-8(2)
IA-8(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(2) | IA-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | PSS-05
PSS-09 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | null | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | 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 | null | Does the organization conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles? | 2 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | null | IA-8(4) | IA-8(4) | IA-8(4) | null | null | IA-8(4) | IA-8(4) | IA-8(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.5.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | IA-8(4) | null | null | null | null | null | null | null | null | 3.L.A | IA-8(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | null | Does the organization disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties? | 2 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(6) | null | null | null | null | IA-8(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | H.2.2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-1
R-AM-3
R-BC-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-GV-1 | null | null | null | null | R-AM-1 | null | R-AM-3 | R-BC-1 | null | null | null | null | null | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(3) | null | null | null | null | IA-8(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | C.1.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-8(3) | IA-8(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AM-3
R-GV-1 | null | null | null | null | null | null | R-AM-3 | null | null | null | null | null | null | null | null | null | null | null | null | R-GV-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8
MT-9
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | MT-8 | MT-9 | null | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | X | 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 | 6.7
12.5 | null | null | DCS-08
UEM-14 | CLS-08
IAM-17 | null | null | CR 1.2 (5.4.1)
CR 1.2 (5.4.3(1)) | null | null | null | null | null | 5.16 | null | null | null | null | null | null | T1530, T1537, T1552, T1552.005, T1602, T1602.001, T1602.002 | null | null | null | PR.AC-P6 | null | null | null | IA-3
IA-3(1)
IA-3(4) | null | IA-3 | IA-3 | IA-3
IA-3(1)
IA-3(4) | null | null | IA-3 | IA-3 | IA-3(1)
IA-3(4) | null | IA-3 | IA-3 | IA-3 | null | IA-3 | null | null | IA-3 | IA-3 | 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 | null | null | null | null | null | null | null | null | null | null | null | N.11 | null | null | null | null | null | null | null | 1.1 | null | IA.L1-3.5.2 | 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 | null | null | 52.204-21(b)(1)(v) | null | null | § 11.10
§ 11.10(h) | IA-3 | null | IA-3 | IA-3 | null | IA-3 | null | IA-3 | IA-3 | null | null | null | null | null | null | 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 | null | 8-607 | 7.1 | 6.7 | null | null | null | 5.3 | null | null | IA-3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-3 | IA-3 | null | null | null | null | null | null | null | null | Art 25 | null | null | null | null | null | null | null | null | null | PSS-05
PSS-09 | null | null | null | 4.33 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B2.a
B2.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | 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 | 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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-3(4) | null | null | null | IA-3(4) | null | null | null | null | IA-3(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.5.3e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | N.19 | null | null | null | null | null | null | null | null | null | null | null | TBD - 3.5.3e | null | null | IA.L3-3.5.3e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B2.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Identification & Authentication | Identification & Authentication for Third Party Systems & Services | IAC-05 | Mechanisms exist to identify and authenticate third-party systems and services. | null | null | Does the organization identify and authenticate third-party systems and services? | 9 | Protect | null | X | 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 | 5.5 | null | null | null | null | null | null | null | null | null | null | null | null | 5.16 | null | null | null | null | null | 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 | null | null | PR.AC-P1 | null | null | null | IA-9 | null | null | null | IA-9 | null | null | null | null | IA-9 | null | null | null | null | null | IA-9 | null | IA-9 | null | IA-9 | 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 | null | PR.AA-01
PR.AA-03 | null | null | 8.2.3 | null | null | null | null | null | null | null | 8.2.3 | null | N.11.3 | null | null | null | null | null | 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 | null | null | null | null | IA.L3-3.5.1e | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-9 | 120.14
120.15
120.16 | null | 8-607 | null | 6.6
6.7 | null | null | null | 5.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 4 | null | null | null | null | null | null | null | null | null | PSS-05
PSS-09 | null | null | null | 4.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-2-3 | null | null | null | null | null | null | null | null | null | null | B2.a
B2.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 9.1.8 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | null | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | 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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-9(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.2.3
8.6.1 | null | 8.6.1 | null | null | 8.6.1 | null | 8.6.1 | 8.2.3
8.6.1 | null | P.9.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | R-AC-1
R-AC-2
R-AC-3
R-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 | null |
Identification & Authentication | Privileged Access by Non-Organizational Users | IAC-05.2 | Mechanisms exist to prohibit privileged access by non-organizational users. | null | null | Does the organization prohibit privileged access by non-organizational users? | 9 | Protect | null | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-6(6) | null | null | null | null | null | null | null | null | null | null | AC-6(6) | null | null | null | AC-6(6) | AC-6(6) | null | 3.7.5.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | H.2.5 | null | null | null | null | null | null | null | 1.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-6(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | B2.c | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | MT-8 | MT-9 | MT-10 | null | MT-12 | MT-13 | MT-14 | MT-15 | null | 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 | 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 | null | null | 6.3
6.4 | 6.3
6.4 | 6.3
6.4 | 6.3
6.4 | null | null | IAM-14 | CLS-11 | null | null | CR 1.1 (5.3.3(2)) | null | null | null | null | null | null | null | null | 6.8.1.2 | null | null | null | null | TS-1.6
TS-2.9 | Sec 4(D)(2)(g) | null | null | null | null | null | IA-2(11) | null | IA-2(11) | IA-2(11) | IA-2(1)
IA-2(2) | null | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | null | null | null | null | null | 3.5.3 | 3.5.3
3.7.5.b | null | A.03.05.03 | null | 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 | null | null | null | ACCESS-1.H.MIL2
ACCESS-1.I.MIL3 | null | 1.1
1.3 | null | null | IA.L2-3.5.3 | IA.L2-3.5.3 | null | IA.L2-3.5.3 | IA.L2-3.5.3 | IA-2(11) | null | null | null | null | null | null | null | IA-2(11) | null | IA-2(11) | IA-2(11) | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | IA-2(11) | IA-2(11) | III.C.2 | null | null | null | null | null | null | null | null | null | null | 500.12 | null | null | 38-99-20(D)(2)(g) | null | null | IA-2(1)
IA-2(2) | null | IA-2(11) | null | null | null | null | null | null | null | Article 21.2(j) | Art 4 | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.21
4.32 | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | null | null | null | null | B2.a | null | 2 | null | 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 | Principle 7.1
Principle 7.2
Principle 7.3
Principle 7.4
Principle 7.5
Principle 7.6
Principle 7.7 | null | null | 0974
1173
1504
1505
1401
1559
1560
1561
1679
1680
1681
1682
1683
1684
1685 | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | 4.6(b) | 9.1.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | NAIC
Lockton | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | 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 | 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 | null | null | 6.5 | 6.5 | 6.5 | 6.5 | null | null | IAM-14 | CLS-11 | null | null | CR 1.1 (5.3.3(2)) | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-1.6
TS-2.6
TS-2.9 | null | null | null | null | null | 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) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | null | null | null | null | null | 3.5.3 | 3.5.3
3.7.5.b | 3.5.3[a]
3.5.3[c] | null | null | null | null | null | A07:2021 | null | 8.4.1
8.4.2 | null | 8.4.1
8.4.2 | null | null | 8.4.1
8.4.2 | 8.4.1 | 8.4.1
8.4.2 | 8.4.1
8.4.2 | null | H.4.1 | null | null | null | null | null | ACCESS-1.H.MIL2 | null | null | null | null | IA.L2-3.5.3 | IA.L2-3.5.3 | null | IA.L2-3.5.3 | IA.L2-3.5.3 | IA-2(1) | null | null | null | null | null | null | null | IA-2(1)
IA-2(4) | IA-2(1) | IA-2(1) | IA-2(1)
IA-2(4) | IA-2(1) | IA-2(1) | IA-2(1) | IA-2(1) | IA-2(1) | IA-2(1) | null | null | null | null | null | null | null | null | null | IA-2(1)
IA-2(2) | null | null | null | null | null | null | null | null | null | null | IA-2(1) | IA-2(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(1)
IA-2(2) | IA-2(1) | IA-2(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.29 | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-4 | TPC-5
TPC-37 | null | null | null | null | null | null | null | null | null | null | null | null | B2.c | null | null | null | null | null | Principle 7.5 | Principle 7.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.7.34.C.01
16.7.34.C.02
16.7.35.C.01
16.7.36.C.01 | null | null | null | 4.6(a) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | CR 1.1 (5.3.3(2)) | null | null | null | null | null | null | null | null | null | null | null | null | null | TS-2.9 | null | null | null | null | null | 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) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | null | null | null | null | null | 3.5.3 | 3.5.3 | 3.5.3[d] | null | null | null | null | null | A07:2021 | null | 8.4.2 | null | 8.4.2 | null | null | 8.4.2 | null | 8.4.2 | 8.4.2 | null | H.4.2 | null | null | null | null | null | null | null | null | null | null | IA.L2-3.5.3 | IA.L2-3.5.3 | null | IA.L2-3.5.3 | IA.L2-3.5.3 | IA-2(2) | null | null | null | null | null | null | null | IA-2(2)
IA-2(4) | null | IA-2(2) | IA-2(2)
IA-2(4) | null | IA-2(2) | IA-2(2) | IA-2(2) | IA-2(2) | IA-2(2) | null | null | null | null | null | null | null | 1.M.B | 1.M.B | IA-2(1)
IA-2(2) | null | null | null | null | null | null | null | null | null | null | null | IA-2(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(1)
IA-2(2) | null | IA-2(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-3 | TPC-5
TPC-45 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.7.34.C.01
16.7.34.C.02
16.7.35.C.01
16.7.36.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | 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 | 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 | 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 | null | null | null | null | null | null | null | null | IAM-14 | null | null | null | CR 1.1 (5.3.3(2)) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(3) | null | IA-2(3) | IA-2(3) | IA-2(1)
IA-2(2) | null | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | null | null | null | null | null | 3.5.3 | 3.5.3 | 3.5.3[a]
3.5.3[b] | null | null | null | null | null | A07:2021 | null | 8.4.2 | null | 8.4.2 | null | null | 8.4.2 | null | 8.4.2 | 8.4.2 | null | H.4.1 | null | null | null | null | null | ACCESS-1.H.MIL2 | null | null | null | null | IA.L2-3.5.3 | IA.L2-3.5.3 | null | IA.L2-3.5.3 | IA.L2-3.5.3 | IA-2(3) | null | null | null | null | null | null | null | IA-2(3) | null | IA-2(3) | IA-2(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(1)
IA-2(2) | null | null | null | null | null | null | null | null | null | null | null | IA-2(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(1)
IA-2(2) | null | IA-2(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 4.30 | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-4 | TPC-37 | null | null | null | null | null | null | null | null | null | null | null | null | B2.c | null | null | null | null | null | Principle 7.5 | Principle 7.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 16.7.34.C.01
16.7.34.C.02
16.7.35.C.01
16.7.36.C.01 | null | null | null | 4.6(a) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | 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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(6)
IA-2(11) | null | IA-2(11) | IA-2(11) | IA-2(1)
IA-2(2)
IA-2(6) | null | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | IA-2(1)
IA-2(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 8.4.2 | null | 8.4.2 | null | null | 8.4.2 | null | 8.4.2 | 8.4.2 | null | N.4.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(11) | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(6) | null | IA-2(6) | IA-2(6) | null | null | null | null | null | null | null | null | null | null | IA-2(1)
IA-2(2)
IA-2(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-2(1)
IA-2(2) | null | IA-2(11) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | 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 | 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 | 6.1
6.2 | 6.1
6.2 | 6.1
6.2 | null | null | IAM-06
IAM-07
IAM-16 | IAM-08 | SO7 | null | CR 2.1 (6.3.3(3)) | null | null | null | 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 | null | null | null | OR-3.1 | null | null | null | null | null | null | IA-5(3) | null | IA-5(3) | IA-5(3) | IA-12(4) | null | null | null | IA-12(4) | null | null | null | null | IA-12(4) | null | null | null | null | null | null | null | 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 | 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 | null | 7.2.3
8.2.4
8.3.5 | 8.2.4 | 7.2.3
8.2.4
8.3.5 | 7.2.3
8.2.4
8.3.5 | null | H.2.3.1 | null | 4.1.1
4.2.1 | null | null | 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 | null | null | null | null | null | null | IA-5(3) | null | null | null | null | null | null | null | IA-5(3) | null | IA-5(3) | IA-5(3) | null | null | null | null | null | null | null | null | null | null | 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 | null | CIP-004-6
R5 | null | null | null | null | null | null | null | null | null | IA-5(3) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.4
6.5
6.6 | IDM-01
IDM-02
PSS-09 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 7.2.1 [OP.ACC.1] | null | null | null | null | B2.d | null | 3 | null | null | null | null | Principle 5.10 | null | null | 0430 | null | null | null | null | null | null | null | null | null | null | 9.2.1
9.2.1.6.PB
9.2.2
9.2.2.8.PB | null | null | 23.3.20.C.01 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | 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 | 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 | null | null | null | null | DSS06.03 | null | IAM-07
IAM-16 | null | SO7 | null | null | null | null | null | null | 9.2.5 | 5.18 | 9.2.5 | null | 6.6.2.5 | null | null | null | null | null | null | null | ID.IM-P2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3.5.5.a
3.5.5.b
3.5.5.d | null | null | null | PO.2
PO.2.1
PO.2.3 | null | 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 | 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 | 7.2.3
8.2.4
8.2.5 | null | H.2.1 | null | 4.1.2
4.1.3 | null | null | null | ACCESS-2.F.MIL2
ACCESS-2.G.MIL2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 164.308(a)(3)(ii)(A) | null | 3.M.B | 3.M.B | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.4
6.5
6.6 | PS-04
PSS-08 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-10 | null | null | null | null | null | null | null | null | null | B2.d | null | null | null | null | null | null | null | null | null | 0430 | null | null | null | Article 27 | null | null | null | null | null | null | 9.2.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | 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 | null | null | null | null | null | null | null | null | IAM-07
IAM-16 | null | null | null | null | null | null | null | null | 9.2.5 | 5.18 | 9.2.5 | null | 6.6.2.5 | null | null | 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 | null | null | null | null | null | null | AC-2(10) | null | null | null | AC-2 | null | AC-2 | AC-2 | AC-2 | null | null | AC-2 | AC-2 | AC-2 | null | AC-2 | AC-2 | AC-2 | null | AC-2 | AC-2 | null | 3.1.1.f.3 | null | null | null | null | null | null | A01:2021 | null | 8.2.4
8.2.5 | 8.2.5 | 8.2.4
8.2.5 | null | null | 8.2.4
8.2.5 | 8.2.4
8.2.5 | 8.2.4
8.2.5 | 8.2.4
8.2.5 | null | E.2 | null | 4.1.2
4.1.3 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-2(10) | null | AC-2(10) | AC-2(10) | null | null | null | null | null | null | null | null | null | null | null | 164.308(a)(3)(ii)(C) | null | 3.M.B | 3.M.B | AC-2 | null | null | null | null | null | null | null | null | null | null | null | AC-2(10) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-2 | null | AC-2(10) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.4
6.5
6.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-10
2-2-1-11 | null | null | null | null | null | null | null | null | null | B2.d | null | null | null | null | null | null | null | null | null | 0430 | null | null | null | null | null | null | null | null | null | null | 9.2.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | 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 | 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 | null | IAM-03
IAM-09
IAM-10
IAM-16 | null | null | null | CR 2.1 (6.3.1)
CR 2.1 (6.3.3(1))
CR 2.1 (6.3.3(2)) | null | null | null | null | 9.1.2 | 5.15
8.3 | 9.1.2 | A.10.13 | null | null | null | null | null | TS-1.7 | null | null | null | null | null | null | AC-2(7) | null | null | null | AC-2(7) | null | null | null | null | AC-2(7) | null | null | null | null | null | null | null | null | null | null | 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 | 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 | 7.2.2
7.2.5 | 7.2.2 | 7.2.1
7.2.2
7.2.5
7.3.1
7.3.2
7.3.3 | 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 | null | ACCESS-1.G.MIL2
ACCESS-2.B.MIL1
ACCESS-2.C.MIL2 | null | 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.L2-3.1.3 | AC-2(7) | null | null | null | 52.204-21(b)(1)(i)
52.204-21(b)(1)(ii) | null | null | § 11.10
§ 11.10(d) | AC-2(7) | null | AC-2(7) | AC-2(7) | null | AC-2(7) | null | AC-2(7) | AC-2(7) | null | null | null | null | 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 | null | null | 1.1
10.2 | 6.10 | null | null | null | null | null | AC-2(7) | AC-2(7) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | AC-2(7) | null | null | § 2447(b)(5)
§ 2447(c)(2)(A) | 3.4.2.(32) | null | null | null | null | null | null | null | null | null | null | null | null | null | 6.2 | PSS-08
PSS-11 | null | null | null | 4.2
4.8
4.9
4.10
4.11
4.20
12.28
12.29 | null | null | null | null | null | null | null | null | null | null | null | null | TPC-39 | null | 2-2-3-3 | null | null | null | null | null | 7.2.4 [OP.ACC.4] | null | null | null | null | B2.a
B2.d
B3.a | null | 3 | null | 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 | null | 1746 | null | null | null | Article 27 | null | null | null | null | null | null | 9.1.2 | null | null | 9.2.11.C.01
9.2.11.C.02
16.2.4.C.01
16.2.5.C.01 | null | null | null | null | 9.1.7
11.1.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21
Lockton | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Identification & Authentication | Identifier Management (User Names) | IAC-09 | Mechanisms exist to govern naming standards for usernames and systems. | null | null | Does the organization govern naming standards for usernames and systems? | 9 | Protect | null | X | 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 | null | 5.6 | null | 5.6 | 5.6 | null | null | IAM-03
IAM-13 | null | null | null | CR 1.4 (5.6.1) | null | null | null | null | null | 5.16 | null | null | null | null | null | 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 | null | null | null | null | null | null | IA-4 | IA-4 | IA-4 | IA-4 | IA-4 | null | IA-4 | IA-4 | IA-4 | null | null | IA-4 | IA-4 | IA-4 | null | IA-4 | IA-4 | IA-4 | null | IA-4 | 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 | null | null | null | A07:2021
A01:2021 | null | 8.2
8.2.1 | 8.2.1 | 8.2.1 | null | null | 8.2.1 | 8.2.1 | 8.2.1 | 8.2.1 | null | H.2.2 | null | 4.1.1 | null | null | null | null | ID:SG1.SP1
ID:SG1.SP2
ID:SG1.SP3 | 1.6 | null | null | IA.L2-3.5.5 | IA.L2-3.5.5 | null | IA.L2-3.5.5 | IA.L2-3.5.5 | IA-4 | null | null | null | null | null | null | null | IA-4 | IA-4 | IA-4 | IA-4 | IA-4 | IA-4 | IA-4 | IA-4 | IA-4 | IA-4 | null | null | null | null | null | 164.312(a)(2)(i) | null | null | null | IA-4 | null | null | 8-607 | null | null | null | null | null | null | IA-4 | IA-4 | IA-4 | null | null | null | null | null | null | null | null | null | 17.04(1)(d) | null | null | null | null | null | null | null | IA-4 | IA-4 | IA-4 | null | null | § 2447(c)(1)(A)(i)
§ 2447(c)(2)(B) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IDM-01 | null | null | null | 12.15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | MA 201 CMR 17 | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Identification & Authentication | User Identity (ID) Management | IAC-09.1 | Mechanisms exist to ensure proper user identification management for non-consumer users and administrators. | null | null | Does the organization ensure proper user identification management for non-consumer users and administrators? | 9 | Protect | null | X | 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 | null | null | null | null | null | null | null | IAM-03
IAM-13 | null | null | null | CR 1.4 (5.6.1) | null | null | null | null | 9.2.1 | 5.16 | 9.2.1 | null | 6.6
6.6.2
6.6.2.1 | null | null | null | null | null | null | null | null | null | null | null | IA-4(4) | null | null | null | IA-4(4) | null | null | IA-4(4) | IA-4(4) | null | null | null | IA-4(4) | IA-4(4) | null | null | null | null | null | null | null | null | 3.5.5.b | null | A.03.05.01.a[01]
A.03.05.01.ODP[01] | null | null | null | 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 | 8.2.1 | null | null | 8.2.1 | 8.2.1 | 8.2.1 | 8.2.1 | null | H.2.2 | null | 4.1.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-4(4) | null | IA-4(4) | IA-4(4) | null | IA-4(4) | null | IA-4(4) | IA-4(4) | null | null | null | null | null | null | null | null | null | null | IA-4(4) | null | null | null | 7.1 | null | null | null | null | null | null | null | IA-4(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-4(4) | null | null | § 2447(c)(1)(A)(i)
§ 2447(c)(2)(B) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 12.15 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 2-2-3-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 9.2.1
9.2.1.6.PB | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Identification & Authentication | Identity User Status | IAC-09.2 | Mechanisms exist to identify contractors and other third-party users through unique username characteristics. | null | null | Does the organization identify contractors and other third-party users through unique username characteristics? | 7 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | IAM-03
IAM-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-4(4) | null | null | null | IA-4(4) | null | null | IA-4(4) | IA-4(4) | null | null | null | IA-4(4) | IA-4(4) | null | null | null | null | null | null | null | null | 3.5.5.d | null | A.03.05.05.d | null | null | null | null | A01:2021 | null | null | null | null | null | null | null | null | null | null | null | H.2.2 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-4(4) | null | IA-4(4) | IA-4(4) | null | IA-4(4) | null | IA-4(4) | IA-4(4) | null | null | null | null | null | null | null | null | null | null | IA-4(4) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Principle 13
P13-(1)
P13-(2)
P13-(2)(a)
P13-(2)(b)
P13-(3)
P13-(4)(a)
P13-(4)(b)
P13-(5) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-4(5)
IA-5(2)
IA-5(10) | null | IA-5(2) | IA-5(2) | IA-4(5)
IA-5(2)
IA-5(10) | null | null | IA-5(2) | IA-5(2) | IA-4(5)
IA-5(10) | null | null | IA-5(2) | IA-5(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A01:2021 | null | null | null | null | null | null | null | null | null | null | null | H.2.9 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-5(2) | null | null | null | null | null | null | null | IA-5(2) | null | IA-5(2) | IA-5(2) | null | IA-5(2) | null | IA-5(2) | IA-5(2) | null | null | null | null | null | null | null | null | null | null | IA-5(2) | null | null | null | null | null | null | null | null | null | null | null | IA-5(2) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Identification & Authentication | Cross-Organization Management | IAC-09.4 | Mechanisms exist to coordinate username identifiers with external organizations for cross-organization management of identifiers. | null | null | Does the organization coordinate username identifiers with external organizations for cross-organization management of identifiers? | 5 | Protect | X | X | 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 | null | null | null | null | null | null | null | null | IAM-03 | null | null | null | null | null | null | null | null | null | 5.16 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-4(6) | null | null | null | IA-4(6) | null | null | null | null | IA-4(6) | null | null | null | null | null | IA-4(6) | null | null | IA-4(6) | IA-4(6) | IA-4(6) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | I.3.2.11 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | null | Does the organization uniquely manage privileged accounts to identify the account as a privileged user or service? | 9 | Protect | null | X | 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 | null | null | null | null | null | null | null | null | IAM-03
IAM-09
IAM-10
IAM-11
IAM-13 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-5(8) | null | null | null | IA-5(8) | null | null | null | null | IA-5(8) | null | null | null | null | null | null | null | null | null | null | null | null | 3.1.7.b
3.5.5.d | null | null | null | null | null | null | A01:2021 | null | null | null | null | null | null | null | null | null | null | null | H.2.5.1 | null | null | null | null | null | null | null | 1.5 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-5(8) | null | null | IA-5(8) | null | IA-5(8) | null | null | IA-5(8) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IDM-02 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 3 | null | null | Principle 5.3 | Principle 5.5 | Principle 5.6 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | 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 | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | CT.DP-P1
CT.DP-P2
CT.DP-P3
CT.DP-P4
CT.DP-P5 | null | null | null | DM-3(1) | null | null | null | IA-4(8) | null | null | null | null | IA-4(8) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | A01:2021 | null | null | null | null | null | null | null | null | null | null | null | H.2.2.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | DM-3(1) | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Art 11.1 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | Sec 6.1.b | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | APP 2 | null | null | null | null | null | null | null | null | null | null | Article 35-2(1)
Article 35-2(2)
Article 35-2(3)
Article 35-2(4)
Article 35-2(5)
Article 35-2(6)
Article 35-2(7)
Article 35-2(8)
Article 35-2(9)
Article 36(1)
Article 36(2)
Article 36(3)
Article 36(4)
Article 37
Article 38
Article 39 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 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 | null | null | null | R-AM-1 | null | R-AM-3 | R-BC-1 | null | null | null | null | null | R-EX-2 | R-EX-3 | R-EX-4 | R-EX-5 | null | null | R-GV-1 | null | null | null | null | null | null | null | null | null | null | null | null | null | NT-7
MT-1
MT-2
MT-7
MT-8
MT-9
MT-10
MT-11
MT-12
MT-13
MT-14
MT-15 | null | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
Identification & Authentication | Authenticator Management | IAC-10 | Mechanisms exist to securely manage authenticators for users and devices. | null | null | Does the organization securely manage authenticators for users and devices? | 10 | Protect | null | X | 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 | null | 5.2 | 5.2 | 5.2 | 5.2 | null | null | IAM-02
IAM-14
IAM-15 | IAM-18
IAM-21
IAM-22 | null | null | CR 1.5 (5.7.1) | null | null | null | 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 | null | 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 | null | null | null | null | null | null | IA-5
IA-5(4) | IA-5 | IA-5 | IA-5 | IA-5
IA-5(1) | null | IA-5
IA-5(1) | IA-5
IA-5(1) | IA-5
IA-5(1) | null | null | IA-5
IA-5(1) | IA-5
IA-5(1) | IA-5
IA-5(1) | null | IA-5 | IA-5 | IA-5 | null | IA-5 | 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 | null | PR.AC-7 | null | 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 | 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 | 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.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.L2-3.5.8
IA.L2-3.5.9 | IA-5 | null | null | null | 52.204-21(b)(1)(vi) | null | 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
IA-5(4) | IA-5 | IA-5 | IA-5 | IA-5 | IA-5 | IA-5 | null | null | null | null | null | null | null | 3.M.C | 3.M.C | IA-5
IA-5(1) | null | CIP-007-6
R5 | 8-607 | 7.1 | null | null | null | null | 5.3 | IA-5 | IA-5 | IA-5 | III.C.1.a | null | null | null | null | null | null | null | null | 17.04(1)(b)
17.04(1)(c)
17.04(1)(d)
17.04(1)(e)
17.04(2)(b) | null | null | null | null | null | null | null | IA-5 | IA-5 | IA-5 | null | null | § 2447(c)(1)(A)(ii) | null | null | null | null | null | Art 4 | null | null | null | null | null | null | null | null | null | IDM-08 | null | null | null | 4.35
12.15
12.16 | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-6 | TPC-3 | null | 2-2-3-1 | 2-2-1-8 | null | null | null | null | 7.2.5 [OP.ACC.5] | null | null | null | null | B2.b | null | 2 | null | null | null | Principle 5.10 | Principle 5.12 | null | null | 1227
1593
1594
1595 | null | null | null | null | null | null | null | null | null | null | 9.2.4
9.2.4.9.PB
9.4.3 | null | 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 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | FAR 52.204-21
MA 201 CMR 17 | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |
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 | null | Does the organization enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication? | 9 | Protect | null | 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 | null | null | 5.2 | 5.2 | 5.2 | 5.2 | null | null | IAM-02
IAM-14
IAM-15 | IAM-18
IAM-19
IAM-21 | null | null | CR 1.5 (5.7.1)
CR 1.7 (5.9.1)
CR 1.7 (5.9.1(1)) | null | null | null | null | 9.2.4
9.4.3 | 5.17 | 9.2.4
9.4.3 | null | null | null | null | null | null | TS-1.6 | null | null | null | null | null | null | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | null | IA-5(1) | IA-5(1) | IA-5(1) | null | 5.1.1.1
5.1.1.2
5.2.2 | IA-5(1) | IA-5(1) | IA-5(1) | null | null | null | null | null | null | 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 | 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 | 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 | 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 | IA.L2-3.5.7 | null | IA.L2-3.5.7 | IA.L2-3.5.7 | IA-5(1) | null | null | null | null | null | null | § 11.300
§ 11.300(a)
§ 11.300(b)
§ 11.300(c)
§ 11.300(d)
§ 11.300(e) | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | IA-5(1) | null | null | null | null | null | null | null | 3.M.C | 3.M.C | IA-5(1) | null | null | null | null | null | null | null | null | 5.3 | IA-5(1) | IA-5(1) | IA-5(1) | III.C.1.a | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | IA-5(1) | IA-5(1) | null | null | null | null | null | null | null | null | Art 4 | null | null | null | null | null | null | null | null | null | IDM-09
PSS-07 | null | null | null | 4.35
12.15
12.16 | null | null | null | null | null | null | null | null | null | null | null | 2-2-1-5 | TPC-2 | null | 2-2-3-1 | 2-2-1-8 | null | null | null | null | 7.2.5 [OP.ACC.5] | null | null | null | null | null | null | null | null | null | null | null | null | null | null | 0417
0421
1557
0422
1558
1596
1795 | Principle 1 | null | null | null | null | null | null | null | null | null | 9.2.4
9.2.4.9.PB
9.4.3 | null | null | 16.1.35.C.01
16.1.35.C.02
16.1.42.C.01
16.1.43.C.01 | null | null | null | null | 9.1.4 | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | null | x | null | x | x | R-AC-1
R-AC-2
R-AC-3
R-AC-4
R-AM-1
R-AM-2
R-AM-3
R-BC-1
R-BC-2
R-BC-3
R-BC-4
R-EX-1
R-EX-2
R-EX-3
R-EX-4
R-EX-5
R-EX-6
R-EX-7
R-GV-1
R-GV-2
R-GV-3
R-GV-4
R-GV-5
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 | null | null | null | null | null | NT-7 | null | null | null | null | null | null | null | MT-1 | MT-2 | null | null | null | null | MT-7 | MT-8 | MT-9 | MT-10 | MT-11 | MT-12 | MT-13 | MT-14 | MT-15 | null | null |