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

Network Security

Session Integrity

NET-09

Mechanisms exist to protect the authenticity and integrity of communications sessions.

- PKI for non-repudiation

null

Does the organization protect the authenticity and integrity of communications sessions?

8

Protect

null

X

There is no evidence of a capability to protect the authenticity and integrity of communications sessions.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect the authenticity and integrity of communications sessions.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect the authenticity and integrity of communications sessions.

null

CR 3.8 (7.10.1(a)) CR 3.8 (7.10.1(b)) CR 3.8 (7.10.1(c))

null

T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1185, T1535, T1550.004, T1557, T1557.001, T1557.002, T1562.006, T1562.009, T1563.001, T1573, T1573.001, T1573.002

null

SC-23

null

SC-23

null

SC-23

null

SC-23

null

3.13.15

A.03.13.15

null

M.1.46

null

SC.L2-3.13.15

null

SC.L2-3.13.15

SC-23

null

SC-23

null

SC-23

null

SC-23

null

SC-23

null

SC-23

null

8-609

null

SC-23

null

SC-23

null

PSS-06

null

17.25

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-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Invalidate Session Identifiers at Logout

NET-09.1

Automated mechanisms exist to invalidate session identifiers upon user logout or other session termination.

null

Does the organization use automated mechanisms to invalidate session identifiers upon user logout or other session termination?

5

Protect

null

X

There is no evidence of a capability to invalidate session identifiers up on user logout or other session termination.

SP-CMM1 is N/A, since a structured process is required to invalidate session identifiers up on user logout or other session termination.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to invalidate session identifiers up on user logout or other session termination.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to invalidate session identifiers up on user logout or other session termination.

null

SC-23(1)

null

SC-23(1)

null

SC-23(1)

null

M.1.46

null

SC-23(1)

null

SC-23(1)

null

SC-23(1)

null

PSS-06

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-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Network Security

Unique System-Generated Session Identifiers

NET-09.2

Automated mechanisms exist to generate and recognize unique session identifiers for each session.

null

Does the organization use automated mechanisms to generate and recognize unique session identifiers for each session?

3

Protect

null

X

There is no evidence of a capability to generate and recognize unique session identifiers for each session.

SP-CMM1 is N/A, since a structured process is required to generate and recognize unique session identifiers for each session.

SP-CMM2 is N/A, since a well-defined process is required to generate and recognize unique session identifiers for each session.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate and recognize unique session identifiers for each session.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate and recognize unique session identifiers for each session.

null

SC-23(3)

null

SC-23(3)

null

SC-23(3)

null

SC-23(3)

null

R-AM-3 R-IR-1 R-IR-2 R-SA-1

null

R-AM-3

null

R-IR-1

R-IR-2

null

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Network Security

Domain Name Service (DNS) Resolution

NET-10

Mechanisms exist to ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.

null

Does the organization ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution?

10

Protect

null

X

There is no evidence of a capability to ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems.

Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.

null

4.9

null

4.9

null

T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1553.004, T1566, T1566.001, T1566.002, T1568, T1568.002, T1598, T1598.002, T1598.003

null

SC-20 SC-20(2)

SC-20

SC-20 SC-20(2)

null

SC-20

SC-20(2)

null

SC-20

null

NFO - SC-20

null

N.7

null

KIM:SG5.SP3

null

SC-20

null

SC-20

null

6.L.B

SC-20 SC-20(2

null

SC-20

null

SC-20

null

9.6

null

2-4-3-5 2-5-3-7

null

0574 1183 1151 0861 1026 1027 1540 1799 1782

null

15.2.20.C.01 15.2.20.C.02 15.2.20.C.03 15.2.20.C.04 15.2.20.C.05

null

x

null

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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Architecture & Provisioning for Name / Address Resolution Service

NET-10.1

Mechanisms exist to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation.

null

Does the organization ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation?

9

Protect

null

X

There is no evidence of a capability to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation.

SP-CMM1 is N/A, since a structured process is required to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation.

null

T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1568, T1568.002

null

SC-22

null

SC-22

null

SC-22

null

NFO - SC-22

null

N.7

null

SC-22

null

SC-22

null

6.L.B

SC-22

null

SC-22

null

SC-22

null

9.7

null

15.2.22.C.01

null

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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Secure Name / Address Resolution Service (Recursive or Caching Resolver)

NET-10.2

Mechanisms exist to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems.

null

Does the organization perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems?

9

Protect

null

X

There is no evidence of a capability to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems.

SP-CMM1 is N/A, since a structured process is required to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes ensure systems that collectively provide Domain Name Service (DNS) resolution service for are fault-tolerant and implement internal/external role separation.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes ensure systems that collectively provide Domain Name Service (DNS) resolution service for are fault-tolerant and implement internal/external role separation.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems.

null

T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1568, T1568.002

null

SC-21

null

SC-21

null

SC-21

null

NFO - SC-21

null

P.2.3.7

null

KIM:SG5.SP3

null

SC-21

null

SC-21

null

6.L.B

SC-21

null

SC-21

null

SC-21

null

9.7

null

x

null

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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Sender Policy Framework (SPF)

NET-10.3

Mechanisms exist to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/or hostnames that are authorized to send email from the specified domain.

null

Does the organization validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/or hostnames that are authorized to send email from the specified domain?

8

Protect

null

X

There is no evidence of a capability to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/ or hostnames that are authorized to send email from the specified domain.

SP-CMM1 is N/A, since a structured process is required to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/ or hostnames that are authorized to send email from the specified domain.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/ or hostnames that are authorized to send email from the specified domain.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/ or hostnames that are authorized to send email from the specified domain.

null

9.5

null

9.5

null

D.3.4

null

TPC-13 TPC-14 TPC-15

null

0574 1183 1151 1799

null

15.2.20.C.01 15.2.20.C.02 15.2.20.C.03 15.2.20.C.04 15.2.20.C.05

null

Lockton

null

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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Domain Registrar Security

NET-10.4

Mechanisms exist to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.

null

Does the organization lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details?

9

Protect

X

There is no evidence of a capability to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.

SP-CMM1 is N/A, since a structured process is required to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.

null

1.3.2.4

null

1432

null

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

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Out-of-Band Channels

NET-11

Mechanisms exist to utilize out-of-band channels for the electronic transmission of information and/or the physical shipment of system components or devices to authorized individuals.

- Signature delivery (courier service)

null

Does the organization utilize out-of-band channels for the electronic transmission of information and/or the physical shipment of system components or devices to authorized individuals?

9

Protect

null

X

There is no evidence of a capability to utilize out-of-band channels for the electronic transmission of information and/ or the physical shipment of system components or devices to authorized individuals.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes use out-of-band channels for the electronic transmission of information and/ or the physical shipment of system components or devices to authorized individuals.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes use out-of-band channels for the electronic transmission of information and/ or the physical shipment of system components or devices to authorized individuals.

Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 out-of-band channels for the electronic transmission of information and/ or the physical shipment of system components or devices to authorized individuals.

null

T1071, T1071.001, T1071.002, T1071.003, T1071.004

null

SC-37 SC-37(1)

null

SC-37 SC-37(1)

null

SC-37 SC-37(1)

null

SC-37(1)

null

SC-37(1)

null

D.3.4

null

COMM:SG2.SP1 EC:SG3.SP2

null

Art 22

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

null

R-AM-3

null

R-BC-2

null

R-BC-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

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

Network Security

Safeguarding Data Over Open Networks

NET-12

Cryptographic mechanisms exist to implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks.

null

Are cryptographic mechanisms utilized to implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks?

8

Protect

X

There is no evidence of a capability to Cryptographic implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks.

CC6.6

CC6.6-POF2

null

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10

null

AC-2 AC-3 SI-3 SI-4 SI-5

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10

null

AC-2 AC-3 SI-3 SI-4 SI-5

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10

null

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7

SI-4 SI-5 SI-7

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7

null

4.1 4.1.1

4.1 4.2.1

null

4.2.1

null

4.2.1

null

4.2.1

null

D.5.2

null

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10

null

5.8

null

AC-2 AC-3 AC-5 SI-3 SI-4 SI-5

null

8.4 8.6 9.20 13.6

null

x

null

x

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

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

Network Security

Wireless Link Protection

NET-12.1

Mechanisms exist to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.

null

Does the organization protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered?

8

Protect

null

X

There is no evidence of a capability to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.

CC6.6

null

SWS-05 SWS-07 SWS-08

null

NDR 2.13 (15.3.1)

null

SC-40

null

SC-40

null

SC-40

null

11.1 11.1.1 11.1.2

1.2.3 1.3.3 2.3 2.3.1 2.3.2 4.2.1.2 11.2 11.2.1 11.2.2 12.10.1 12.10.5

12.10.1

1.2.3 1.3.3 12.10.1

12.10.1

1.2.3 1.3.3 2.3.1 2.3.2 12.10.1

1.3.3 2.3.1 2.3.2 4.2.1.2 11.2.1 11.2.2 12.10.1

1.3.3 2.3.1 2.3.2 4.2.1.2 12.10.1

1.2.3 1.3.3 2.3.1 2.3.2 4.2.1.2 11.2.1 11.2.2 12.10.1 12.10.5

12.10.1

N.8.5

null

EC:SG2.SP2 TM:SG2.SP2

null

x

null

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

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

Network Security

End-User Messaging Technologies

NET-12.2

Mechanisms exist to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies.

- Acceptable Use Policy (AUP) - Data Loss Prevention (DLP)

null

Does the organization prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies?

9

Protect

null

X

There is no evidence of a capability to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies.

CC6.71

CC6.7-POF1

null

4.2

4.2.2

null

4.2.2

null

4.2.2

null

4.2.2

null

D.10.8

null

8.3

null

SC-ACA-1 SC-ACA-2

null

3.3.2 3.3.3 3.3.4

null

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Electronic Messaging

NET-13

Mechanisms exist to protect the confidentiality, integrity and availability of electronic messaging communications.

null

Does the organization protect the confidentiality, integrity and availability of electronic messaging communications?

10

Protect

null

X

There is no evidence of a capability to protect the confidentiality, integrity and availability of electronic messaging communications.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect information involved in electronic messaging communications.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect information involved in electronic messaging communications. • Technologies are configured to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect the confidentiality, integrity and availability of electronic messaging communications.

CC6.6 CC6.7

CC6.6-POF2

null

NDR 5.3 (15.13.1)

null

13.2.3

5.14

13.2.3

null

6.10.2.3

null

SC-8(3) SC-19

null

SC-19

SC-8(3)

null

SC-8(3)

null

3.13.14

null

3.13.14[a] 3.13.14[b]

null

D.5.5

null

8.3

null

SC.L2-3.13.14

null

SC.L2-3.13.14

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

null

SC-19

null

SC-19

null

3.3.2 3.3.3 3.3.4

null

8-700

null

SC-19

null

SC-19

null

8.8.1 [MP.S.1]

null

0264 0267 0270 0271 0272 1089 0565 1023 0269 0569 0571 0570 0567 0572 1589 0574 1183 1151 0861 1026 1027 1540 1024 0490 0494 0496 1233 0498 0998 0999 1000

null

13.2.3

null

15.1.7.C.01 15.1.8.C.01 15.1.8.C.02 15.1.9.C.01 15.1.10.C.01 15.1.10.C.02 15.1.10.C.03 15.1.11.C.01 15.1.11.C.02 15.1.11.C.03 15.1.12.C.01 15.1.13.C.01 15.1.14.C.01 15.1.15.C.01 15.1.16.C.01 15.1.17.C.01 15.1.18.C.01 15.1.19.C.01 15.1.19.C.02 15.1.20.C.01 15.2.25.C.01 15.2.25.C.02 15.2.26.C.01 15.2.27.C.01 15.2.28.C.01 15.2.29.C.01 15.2.30.C.01 15.2.30.C.02 15.2.30.C.03 15.2.31.C.01 15.2.31.C.02 15.2.32.C.01 15.2.32.C.02 15.2.32.C.03 15.2.33.C.01 15.2.33.C.02 15.2.33.C.03 15.2.33.C.04 16.7.33.C.01 17.6.6.C.01 17.6.7.C.01

null

x

null

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Remote Access

NET-14

Mechanisms exist to define, control and review organization-approved, secure remote access methods.

null

E-NET-03

Does the organization define, control and review organization-approved, secure remote access methods?

10

Protect

null

X

There is no evidence of a capability to define, control and review organization-approved, secure remote access methods.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes define, control and review remote access methods. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes define, control and review remote access methods. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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, control and review organization-approved, secure remote access methods.

CC6.6

CC6.6-POF3

null

12.7

null

12.7

null

HRS-04

null

6.2.2

6.7

6.2.2

null

6.3.2.2

null

T1020.001, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1037, T1037.001, T1040, T1047, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1070, T1070.001, T1070.002, T1114, T1114.001, T1114.002, T1114.003, T1119, T1133, T1137, T1137.002, T1213, T1213.001, T1213.002, T1219, T1505.004, T1530, T1537, T1543, T1547.003, T1547.004, T1547.009, T1547.011, T1547.012, T1547.013, T1550.001, T1552, T1552.002, T1552.004, T1552.007, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1563, T1563.001, T1563.002, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002, T1609, T1610, T1612, T1613, T1619

OR-3.3 TS-2.1

null

PR.AC-P3

null

AC-17 AC-17(6)

AC-17

AC-17 AC-17(6)

null

AC-17

AC-17(6)

null

AC-17

null

AC-17 AC-17(6)

AC-17

null

AC-17 AC-17(6)

3.1.12

3.1.12.a 3.1.12.b 3.1.12.c 3.1.12.d

null

A.03.01.01.ODP[01] A.03.01.12.a[01] A.03.01.12.a[02] A.03.01.12.a[04] A.03.01.12.b

null

PR.AC-3

null

12.3.8 12.3.9

3.4.2 7.2.5 8.2.3 8.2.7 12.2.1 12.8.1

12.8.1

7.2.5 8.2.7 12.8.1

12.8.1

8.2.7 12.8.1

7.2.5 8.2.7 12.2.1 12.8.1

12.8.1

3.4.2 7.2.5 8.2.7 12.2.1 12.8.1

3.4.2 7.2.5 8.2.3 8.2.7 12.2.1 12.8.1

12.8.1

N.4

null

9.1

null

TM:SG4.SP1

null

5.5.6

null

AC.L2-3.1.12

null

AC.L1-b.1.i AC.L1-b.1.ii

AC.L2-3.1.12

AC-17

null

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

null

AC-17

null

D3.PC.Am.B.15 D3.PC.De.E.7 D3.PC.Im.Int.2

null

2.S.A 6.S.A

1.M.B 3.M.D 6.M.D 9.M.C

1.M.B 3.M.D 6.M.D 9.M.C 2.L.B

AC-17

null

CIP-005-5 R2

null

5.3

AC-17

III.C

null

AC-17

null

4.17

null

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

TPC-35

null

2-2-1-7

null

7.2.7 [OP.ACC.7]

null

0487 0488 0489

null

6.2.2

null

16.5.10.C.01 16.5.10.C.02 16.5.11.C.01 16.5.11.C.02 16.5.12.C.01 17.5.6.C.01 17.5.7.C.01 17.5.7.C.02 17.5.8.C.01 17.5.8.C.02 17.5.8.C.03 17.5.9.C.01 17.5.10.C.01

null

9.3.1 9.3.2

null

x

FAR 52.204-21 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-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

Network Security

Automated Monitoring & Control

NET-14.1

Automated mechanisms exist to monitor and control remote access sessions.

null

Does the organization use automated mechanisms to monitor and control remote access sessions?

1

Detect

null

X

There is no evidence of a capability to monitor and control remote access sessions.

SP-CMM1 is N/A, since a structured process is required to monitor and control remote access sessions.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to monitor and control remote access sessions.

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

Network Security (NET) 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

12.7

null

12.7

null

AC-17(1)

null

AC-17(1)

null

AC-17(1)

null

AC-17(1)

null

3.1.12

3.1.12.b

3.1.12[a] 3.1.12[b] 3.1.12[c] 3.1.12[d]

null

N.4.5

null

AC.L2-3.1.12

null

AC.L2-3.1.12

AC-17(1)

null

AC-17(1)

null

AC-17(1)

null

AC-17(1)

null

AC-17(1)

null

AC-17(1)

null

AC-17(1)

null

AC-17(1)

null

4.18

null

x

null

x

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Network Security

Protection of Confidentiality / Integrity Using Encryption

NET-14.2

Cryptographic mechanisms exist to protect the confidentiality and integrity of remote access sessions (e.g., VPN).

null

Are cryptographic mechanisms utilized to protect the confidentiality and integrity of remote access sessions (e?g?, VPN)?

9

Protect

null

X

There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of remote access sessions (e.g., VPN).

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic protect the confidentiality and integrity of remote access sessions (e.g., VPN).

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of remote access sessions (e.g., VPN).

null

12.7

null

12.7

null

PR.DS-P6

null

AC-17(2)

null

AC-17(2)

null

AC-17(2)

null

AC-17(2)

null

3.1.13

3.1.12.a

3.1.13[a] 3.1.13[b]

null

N.4.1

null

9.1

null

5.10.1.2

null

AC.L2-3.1.13

null

AC.L2-3.1.13

AC-17(2)

null

AC-17(2)

null

AC-17(2)

null

AC-17(2)

null

AC-17(2)

null

AC-17(2)

null

AC-17(2)

null

AC-17(2)

null

9.8

null

x

null

x

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Managed Access Control Points

NET-14.3

Mechanisms exist to route all remote accesses through managed network access control points (e.g., VPN concentrator).

null

Does the organization route all remote accesses through managed network access control points (e?g?, VPN concentrator)?

9

Protect

null

X

There is no evidence of a capability to route all remote accesses through managed network access control points (e.g., VPN concentrator).

SP-CMM1 is N/A, since a structured process is required to route all remote accesses through managed network access control points (e.g., VPN concentrator).

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to route all remote accesses through managed network access control points (e.g., VPN concentrator).

Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 route all remote accesses through managed network access control points (e.g., VPN concentrator).

null

CC6.1-POF5

null

12.7

null

12.7

null

TS-2.0

null

AC-17(3)

null

AC-17(3)

null

AC-17(3)

null

AC-17(3)

null

3.1.14

3.1.12.b 3.1.12.c

3.1.14[a] 3.1.14[b]

A.03.01.12.c

null

N.2.4.3

null

AC.L2-3.1.14

null

AC.L2-3.1.14

AC-17(3)

null

AC-17(3)

null

AC-17(3)

null

AC-17(3)

null

AC-17(3)

null

AC-17(3)

null

AC-17(3)

null

AC-17(3)

null

4.19

null

x

null

x

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

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

Network Security

Remote Privileged Commands & Sensitive Data Access

NET-14.4

Mechanisms exist to restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs.

null

Does the organization restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs?

8

Protect

null

X

There is no evidence of a capability to restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs.

null

AC-17(4)

null

AC-17(4)

null

AC-17(4)

null

AC-17(4)

null

3.1.15

3.1.12.d

3.1.15[a] 3.1.15[b] 3.1.15[c] 3.1.15[d]

A.03.01.12.d[1] A.03.01.12.d[2]

null

H.12

null

AC.L2-3.1.15

null

AC.L2-3.1.15

AC-17(4)

null

AC-17(4)

null

AC-17(4)

null

AC-17(4)

null

AC-17(4)

null

AC-17(4)

null

AC-17(4)

null

AC-17(4)

null

4.17 4.20

null

TPC-35

null

16.5.11.C.01 16.5.11.C.02

null

x

null

x

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Work From Anywhere (WFA) - Telecommuting Security

NET-14.5

Mechanisms exist to define secure telecommuting practices and govern remote access to systems and data for remote workers.

null

E-NET-03

Does the organization define secure telecommuting practices and govern remote access to systems and data for remote workers?

10

Protect

X

There is no evidence of a capability to define secure telecommuting practices and govern remote access to systems and data for remote workers.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes define, control and review remote access methods.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes define, control and review remote access methods.

Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 secure telecommuting practices and govern remote access to systems and data for remote workers.

null

HRS-04

null

6.2.2 11.2.6

6.7 7.9

6.2.2 11.2.6

null

6.3.2.2

null

OR-1.2 OR-3.3

null

3.1.12 3.10.6

3.1.12.a 3.1.12.c 3.10.6.a 3.10.6.b

null

PR.AC-2

null

L.10.3.1

null

2.1.4

null

AC.L2-3.1.12 PE.L2-3.10.6

null

AC.L2-3.1.12 PE.L2-3.10.6

null

10.S.A

null

2.B.7 2.B.7.1 2.B.7.2 2.B.7.3

null

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

null

7.2.7 [OP.ACC.7] 9

null

6.2.2 11.2.6

null

21.2.4.C.01 21.2.4.C.02 21.2.5.C.01 21.2.6.C.01 21.2.7.C.01 21.2.7.C.02 21.3.5.C.01 21.3.6.C.01

null

9.3.1 9.3.2

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-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

Network Security

Third-Party Remote Access Governance

NET-14.6

Mechanisms exist to proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access.

null

Does the organization proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access?

8

Protect

null

X

There is no evidence of a capability to proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access.

SP-CMM1 is N/A, since a structured process is required to proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access.

null

8.1.5

8.2.7

null

8.2.7

null

8.2.7

null

8.2.7

null

N.16

null

TPC-35

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Endpoint Security Validation

NET-14.7

Mechanisms exist to validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information.

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

null

Does the organization validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information?

6

Protect

null

X

There is no evidence of a capability to validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information.

SP-CMM1 is N/A, since a structured process is required to validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information.

null

13.5

null

13.5

null

CA-9(1)

null

CA-9(1)

null

M.1.7

null

CA-9(1)

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Expeditious Disconnect / Disable Capability

NET-14.8

Mechanisms exist to provide the capability to expeditiously disconnect or disable a user's remote access session.

null

Does the organization provide the capability to expeditiously disconnect or disable a user's remote access session?

8

Protect

null

X

There is no evidence of a capability to provide the capability to expeditiously disconnect or disable a user's remote access session.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies provide the capability to expeditiously disconnect or disable a user's remote access session.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies provide the capability to expeditiously disconnect or disable a user's remote access session.

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

Network Security (NET) 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

AC-17(9)

null

AC-17(9)

null

AC-17(9)

null

AC-17(9)

null

I.1.21

null

AC-17(9)

null

AC-17(9)

null

AC-17(9)

null

AC-17(9)

null

AC-17(9)

null

1591

null

x

null

x

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

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

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

- Added NIST 800-53 R5 mapping for AC-17(9)

Network Security

Wireless Networking

NET-15

Mechanisms exist to control authorized wireless usage and monitor for unauthorized wireless access.

null

Does the organization control authorized wireless usage and monitor for unauthorized wireless access?

9

Protect

X

There is no evidence of a capability to control authorized wireless usage and monitor for unauthorized wireless access.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies control authorized wireless usage and monitor for unauthorized wireless access.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies control authorized wireless usage and monitor for unauthorized wireless access. • Centrally-managed authentication and cryptographic technologies are configured to protect wireless access.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control authorized wireless usage and monitor for unauthorized wireless access.

null

SWS-05

null

NDR 1.6 (15.2.1)

null

13.1.2

8.21

13.1.2

null

T1011, T1011.001, T1020.001, T1040, T1070, T1070.001, T1070.002, T1119, T1530, T1552, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002

TS-2.11

null

AC-18

null

AC-18

null

AC-18

null

AC-18

null

AC-18

3.1.16

3.1.16.a 3.1.16.b

3.1.16[a] 3.1.16[b]

A.03.01.16.a[01] A.03.01.16.a[02] A.03.01.16.a[04]

null

11.2 11.2.1 11.2.2

null

11.2.1 11.2.2

null

11.2.1 11.2.2

null

N.8.5

null

TM:SG4.SP1

null

5.13.1 5.13.1.1

null

AC.L2-3.1.16

null

AC.L2-3.1.16

AC-18

null

AC-18

null

AC-18

null

8-311

null

AC-18

null

AC-18

null

4.24 12.12 12.14

null

2-3-1-5 2-4-1-4

null

2-4-1-4 2-4-1-5

null

1543 0225 0247 0248 1137 1314 0536 1315 1316 1317 1318 1319 1320 1321 1322 1324 1323 1327 1330 1454 1334 1335

null

13.1.2

null

18.2.5.C.01 18.2.5.C.02 18.2.6.C.01 18.2.7.C.01 18.2.8.C.01 18.2.25.C.01 18.2.26.C.01 18.2.27.C.01 18.2.28.C.01 18.2.28.C.02 18.2.29.C.01 18.2.29.C.02 18.2.29.C.03 18.2.30.C.01 18.2.31.C.01 18.2.32.C.01 18.2.34.C.01

null

x

null

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

R-AC-1

null

R-AC-3

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Network Security

Authentication & Encryption

NET-15.1

Mechanisms exist to protect wireless access through authentication and strong encryption.

null

Does the organization protect wireless access through authentication and strong encryption?

9

Protect

null

X

There is no evidence of a capability to protect wireless access through authentication and strong encryption.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Centrally-managed authentication and cryptographic technologies are configured to protect wireless access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect wireless access through authentication and strong encryption.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect wireless access through authentication and strong encryption.

null

NDR 1.6 (15.2.3(1))

null

AC-18(1)

null

AC-18(1)

null

AC-18(1)

null

AC-18(1)

null

3.1.17

3.1.16.a 3.1.16.b

3.1.17[a] 3.1.17[b]

A.03.01.16.b

null

4.1.1

2.3.1 2.3.2 4.2.1

null

4.2.1

null

2.3.1 2.3.2

2.3.1 2.3.2 4.2.1

2.3.1 2.3.2

2.3.1 2.3.2 4.2.1

null

N.8.4

null

5.10.1.2

null

AC.L2-3.1.17

null

AC.L2-3.1.17

AC-18(1)

null

AC-18(1)

null

AC-18(1)

null

AC-18(1)

null

AC-18(1)

null

AC-18(1)

null

AC-18(1)

null

AC-18(1)

null

12.14

null

18.2.10.C.01 18.2.10.C.02 18.2.11.C.01 18.2.11.C.02 18.2.11.C.03 18.2.11.C.04 18.2.11.C.05 18.2.12.C.01 18.2.12.C.02 18.2.13.C.01 18.2.14.C.01 18.2.15.C.01 18.2.16.C.01 18.2.17.C.01 18.2.18.C.01 18.2.19.C.01 18.2.20.C.01 18.2.20.C.02 18.2.20.C.03 18.2.21.C.01 18.2.22.C.01 18.2.23.C.01 18.2.23.C.02 18.2.24.C.01 18.2.25.C.01

null

x

null

x

null

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

null

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Disable Wireless Networking

NET-15.2

Mechanisms exist to disable unnecessary wireless networking capabilities that are internally embedded within system components prior to issuance to end users.

null

Does the organization disable unnecessary wireless networking capabilities that are internally embedded within system components prior to issuance to end users?

5

Protect

null

X

There is no evidence of a capability to disable unnecessary wireless networking capabilities that are internally embedded within system components prior to issuance to end users.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies disable unnecessary wireless networking capabilities.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies disable unnecessary wireless networking capabilities.

Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 disable unnecessary wireless networking capabilities that are internally embedded within system components prior to issuance to end users.

null

AC-18(3)

null

AC-18(3)

null

AC-18(3)

null

AC-18(3)

null

3.1.16.c

null

A.03.01.16.c

null

U.1.2

null

AC-18(3)

null

AC-18(3)

null

AC-18(3)

null

AC-18(3)

null

AC-18(3)

null

4.24

null

2-4-1-4

null

21.1.16.C.01 21.1.16.C.02

null

x

null

x

null

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

null

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Restrict Configuration By Users

NET-15.3

Mechanisms exist to identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities.

null

Does the organization identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities?

8

Protect

null

X

There is no evidence of a capability to identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities.

null

AC-18(4)

null

AC-18(4)

null

AC-18(4)

null

AC-18(4)

null

3.1.16.a 3.1.16.c

null

N.8.2

null

AC-18(4)

null

AC-18(4)

null

AC-18(4)

null

AC-18(4)

null

12.13

null

x

null

x

null

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

null

R-AC-4

null

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Wireless Boundaries

NET-15.4

Mechanisms exist to confine wireless communications to organization-controlled boundaries.

null

Does the organization confine wireless communications to organization-controlled boundaries?

5

Protect

null

X

There is no evidence of a capability to confine wireless communications to organization-controlled boundaries.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies confine wireless communications to organization-controlled boundaries.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies confine wireless communications to organization-controlled boundaries.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to confine wireless communications to organization-controlled boundaries.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to confine wireless communications to organization-controlled boundaries.

null

AC-18(5)

null

AC-18(5)

null

AC-18(5)

null

AC-18(5)

null

N.8.5

null

AC-18(5)

null

AC-18(5)

null

AC-18(5)

null

AC-18(5)

null

4.23

null

1338 1013

null

18.2.33.C.01

null

x

null

x

null

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

null

R-AC-4

null

R-AM-2

null

R-BC-1

R-BC-2

null

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

null

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

null

NT-11

NT-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

Network Security

Rogue Wireless Detection

NET-15.5

Mechanisms exist to test for the presence of Wireless Access Points (WAPs) and identify all authorized and unauthorized WAPs within the facility(ies).

null

E-NET-02

Does the organization test for the presence of Wireless Access Points (WAPs) and identify all authorized and unauthorized WAPs within the facility(ies)?

8

Detect

null

X

There is no evidence of a capability to test for the presence of Wireless Access Points (WAPs) and identify all authorized and unauthorized WAPs within the facility(ies).

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • IT/cybersecurity personnel receive feeds from Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • A SOC, or similar function receives feeds from Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks.

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

Network Security (NET) 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

MON-10 SWS-06

null

11.1 11.1.1 11.1.2

11.2 11.2.1

null

11.2.1

null

11.2.1

null

N.8.5

null

B2.b

null

0829

null

x

null

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

R-AC-1

null

R-AC-4

null

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

null

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

null

NT-11

NT-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

Network Security

Intranets

NET-16

Mechanisms exist to establish trust relationships with other organizations owning, operating, and/or maintaining intranet systems, allowing authorized individuals to: ▪ Access the intranet from external systems; and ▪ Process, store, and/or transmit organization-controlled information using the external systems.

null

Does the organization establish trust relationships with other organizations owning, operating, and/or maintaining intranet systems, allowing authorized individuals to: ▪ Access the intranet from external systems; and ▪ Process, store, and/or transmit organization-controlled information using the external systems?

8

Protect

null

X

There is no evidence of a capability to establish trust relationships with other organizations owning, operating, and/ or maintaining intranet systems, allowing authorized individuals to: ▪ Access the intranet from external systems; and ▪ Process, store, and/ or transmit organization-controlled information using the external systems.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies establish trust relationships with other organizations owning, operating, and/ or maintaining intranet systems, allowing authorized individuals to access the intranet from external systems, as well as process, store, and/ or transmit organization-controlled information using the external systems.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies establish trust relationships with other organizations owning, operating, and/ or maintaining intranet systems, allowing authorized individuals to access the intranet from external systems, as well as process, store, and/ or transmit organization-controlled information using the external systems.

Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 trust relationships with other organizations owning, operating, and/ or maintaining intranet systems, allowing authorized individuals to: ▪ Access the intranet from external systems; and ▪ Process, store, and/ or transmit organization-controlled information using the external systems.

null

6.11.1.3

null

H.2.4

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-11

NT-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

Network Security

Data Loss Prevention (DLP)

NET-17

Automated mechanisms exist to implement Data Loss Prevention (DLP) to protect sensitive information as it is stored, transmitted and processed.

- Data Loss Prevention (DLP)

null

Does the organization use automated mechanisms to implement Data Loss Prevention (DLP) to protect sensitive information as it is stored, transmitted and processed?

8

Protect

null

X

There is no evidence of a capability to implement Data Loss Prevention (DLP) to protect sensitive information as it is stored, transmitted and processed.

SP-CMM1 is N/A, since a structured process is required to implement Data Loss Prevention (DLP) to protect sensitive information as it is stored, transmitted and processed.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to implement Data Loss Prevention (DLP) techniques to protect sensitive/regulated data as it is stored, transmitted and processed. • DLP prevents unauthorized devices from connecting to endpoint devices to control the distribution of sensitive/regulated data.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to implement Data Loss Prevention (DLP) techniques to protect sensitive/regulated data as it is stored, transmitted and processed. • DLP prevents unauthorized devices from connecting to endpoint devices to control the distribution of sensitive/regulated data.

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

Network Security (NET) 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

CC6.7-POF1

null

3.13

null

3.13

null

UEM-11

DAT-02

null

6.5.3.1

null

TS-1.8

null

SC-7(10)

null

SC-7(10) SI-4(18)

null

SC-7(10) SI-4(18)

null

A3.2.6

null

D.10.2

null

4.M.E

4.M.E 4.L.A

SI-4(18)

null

2-6-1-2

null

4.1 4.2

3.2.5

null

x

null

x

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

null

R-AM-3

null

R-BC-2

null

R-BC-4

R-BC-5

null

R-GV-1

R-GV-2

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Network Security

DNS & Content Filtering

NET-18

Mechanisms exist to force Internet-bound network traffic through a proxy device for URL content filtering and DNS filtering to limit a user's ability to connect to dangerous or prohibited Internet sites.

null

E-NET-01

Does the organization force Internet-bound network traffic through a proxy device for URL content filtering and DNS filtering to limit a user's ability to connect to dangerous or prohibited Internet sites?

9

Protect

null

X

There is no evidence of a capability to force Internet-bound network traffic through a proxy device for URL content filtering and DNS filtering to limit a user's ability to connect to dangerous or prohibited Internet sites.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.

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

Network Security (NET) 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

9.0 9.2 9.3 13.10

9.2

9.2 9.3

9.2 9.3 13.10

null

5.14 8.23

null

TS-2.10

null

SC-7(8) SC-18(3)

null

SC-7(8)

SC-7(8) SC-18(3)

null

SC-7(8)

SC-18(3)

null

SC-7(8)

null

3.1.3

null

D.10.10

1.4

null

AC.L2-3.1.3

null

AC.L2-3.1.3

SC-7(8)

null

SC-7(8)

null

SC-7(8)

null

SC-7(8)

null

SC-7(8)

null

8.S.A

6.M.D

6.M.D 6.L.B

SC-7(8)

null

6.8

null

SC-7(8)

III.D.1.b III.D.1.c III.D.1.e III.D.2.a

null

SC-7(8)

null

9.14

null

TPC-57

null

2-5-3-3 2-5-3-8

null

1234 1502 0963 0961 0958 1171 1236 0659 1524 0649 1287

null

9.3.6.C.01 14.3.6.C.01 14.3.6.C.02 14.3.6.C.03 14.3.10.C.01 14.3.10.C.02 14.3.10.C.03 14.3.10.C.04 14.3.11.C.01 14.3.11.C.02 14.3.12.C.01 20.3.4.C.01 20.3.4.C.02 20.3.5.C.01 20.3.5.C.02 20.3.6.C.01 20.3.7.C.01 20.3.7.C.02 20.3.8.C.01 20.3.9.C.01 20.3.10.C.01 20.3.11.C.01 20.3.11.C.02 20.3.11.C.03 20.3.12.C.01 20.3.12.C.02 20.3.13.C.01 20.3.13.C.02 20.3.14.C.01 20.3.15.C.01 20.3.15.C.02 20.3.16.C.01

null

x

null

x

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

null

R-AM-3

null

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

null

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Route Traffic to Proxy Servers

NET-18.1

Mechanisms exist to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces.

null

E-NET-01

Does the organization route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces?

9

Protect

null

X

There is no evidence of a capability to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces.

Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces.

null

13.10

null

13.10

null

TS-2.8

null

SC-7(8)

null

SC-7(8)

null

SC-7(8)

null

SC-7(8)

null

1.3

null

J.7.3

1.4

null

SC-7(8)

null

SC-7(8)

null

SC-7(8)

null

SC-7(8)

null

SC-7(8)

null

6.M.D

6.M.D 6.L.B

SC-7(8)

null

6.8

null

SC-7(8)

III.D.1.b

null

SC-7(8)

null

9.14

null

2-4-1-3

null

2-5-3-8

null

0570 0260 1237

null

14.3.6.C.01 14.3.6.C.02 14.3.6.C.03

null

x

null

x

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

null

R-AM-3

null

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

null

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Visibility of Encrypted Communications

NET-18.2

Mechanisms exist to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.

null

Does the organization configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms?

5

Detect

null

X

There is no evidence of a capability to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.

SP-CMM1 is N/A, since a structured process is required to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.

Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network 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 network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content. • Content filtering restricts unauthorized content, when transferring information between different security domains.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.

null

SI-4(10)

null

SI-4(10)

null

SI-4(10)

null

D.10.10

null

SI-4(10)

null

SI-4(10)

null

SI-4(10)

null

1293 0263

null

14.3.8.C.01 14.3.9.C.01 20.3.14.C.01

null

x

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

null

R-AM-3

null

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

null

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Network Security

Route Privileged Network Access

NET-18.3

Automated mechanisms exist to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

null

Does the organization use automated mechanisms to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing?

1

Detect

null

X

There is no evidence of a capability to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

SP-CMM1 is N/A, since a structured process is required to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

SP-CMM2 is N/A, since a well-defined process is required to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces. • Content filtering restricts unauthorized content, when transferring information between different security domains.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

null

SC-7(15)

null

SC-7(15)

null

SC-7(15)

null

Principle 5.2

Principle 5.4 Principle 5.9

Principle 5.5

null

1653

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

null

R-AM-3

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Physical & Environmental Security

Physical & Environmental Protections

PES-01

Mechanisms exist to facilitate the operation of physical and environmental protection controls.

null

E-PES-01

Does the organization facilitate the operation of physical and environmental protection controls?

9

Protect

X

There is no evidence of a capability to facilitate the operation of physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • IT personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets and data.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, 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 physical 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 physical access controls. • 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 physical access controls. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including physical access controls. • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 operation of physical and environmental protection controls.

CC6.4 A1.2

CC6.4-POF1 CC6.4-POF2 A1.2-POF1 A1.2-POF2 A1.2-POF3 A1.2-POF4 A1.2-POF5 A1.2-POF6 A1.2-POF7 A1.2-POF8 A1.2-POF9 A1.2-POF10

null

DSS01.04 DSS01.05 DSS05.05

null

DCS-03

PHY-01

SO9

8.2.3 8.2.4

null

11.1.4

5.14 5.15 5.18 7.1 7.5

11.1.4

null

6.8.1.4 6.15.1.4

null

OR-3.1 PS-1.0 PS-1.2 PS-1.5 PS-2.0

Sec 4(D)(2)(b) Sec 4(D)(2)(c)

null

PR.AC-P2 PR.PO-P4

null

PE-1

PE-1 PE-23

null

PE-1

PE-23

null

PE-1

null

PE-1

null

PE-1

3.10.2 NFO - PE-1

3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.b 3.10.7.c 3.10.7.d

3.10.2[a] 3.10.2[b] 3.10.2[c] 3.10.2[d]

null

PR.AA PR.AA-06

null

9.1 9.1.1 9.1.2

null

9.1.1

9.1.1 9.1.2

9.1.1

F.1

3.1

3.1.1 8.1.2 8.1.3 8.2.6 8.2.7 8.4.2 8.4.3 8.5.2

null

ACCESS-3.A.MIL1 ACCESS-3.D.MIL2 ACCESS-3.E.MIL2 ACCESS-3.F.MIL2 ACCESS-3.G.MIL2 ACCESS-3.H.MIL2

AM:SG1.SP1

null

5.9 5.9.1

null

PE.L2-3.10.2

null

PE.L2-3.10.2

PE-1

null

PE-1

null

164.310 164.310(a) 164.310(a)(1) 164.310(a)(2)(ii)

6.S.B

4.M.C

2.B.3 2.B.3.4 PE-1

null

CIP-006-6 R1 & R3

8-308

10.6 11.1 11.2 11.3

null

PE-1

null

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

null

PE-1

null

§ 2447(b)(7)

3.4.3(33)

null

Art 32.1 Art 32.2

null

Sec 14 Sec 15

Art 16

null

PS-01

null

9.15 12.27 18.1 18.2 18.10

null

2-3

TPC-46

3.3.2

2-3-1 2-3-2 2-3-4 2-14-1 2-14-2 2-14-3 2-14-4

2-13 2-13-1 2-13-1-8 2-13-1-9 2-13-2

null

Sec 19

null

B2.a

null

0810

null

11.1.4

null

7.1

5.7.4.C.01 8.1.10.C.01

null

8.5.1 8.5.2 8.5.5 8.5.6(a) 8.5.6(b) 8.5.6(c) 8.5.6(d) 8.5.6(e) 8.5.6(f)

null

3.2.10

null

x

NAIC

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

R-SA-2

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

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Physical & Environmental Security

Site Security Plan (SitePlan)

PES-01.1

Mechanisms exist to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.

null

E-PES-04

Does the organization document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats?

4

Identify

X

null

There is no evidence of a capability to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.

SP-CMM1 is N/A, since a structured process is required to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes exist to ensure Business process owners (BPOs) develop and maintain System Security Plans (SSPs) or similar documentation, to identify and maintain key architectural information on each business-critical system, application or service.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes exist to ensure Business Process Owners (BPOs) develop and maintain System Security Plans (SSPs) or similar documentation, to identify and maintain key architectural information on each business-critical system, application or service.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.

null

DCS-11

null

F.1.2

null

3.1.1 8.4.2

null

8.1.1 [MP.IF.1]

null

8.2.7.C.01

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Physical Access Authorizations

PES-02

Physical access control mechanisms exist to maintain a current list of personnel with authorized access to organizational facilities (except for those areas within the facility officially designated as publicly accessible).

null

E-PES-03

Does the organization maintain a current list of personnel with authorized access to organizational facilities (except for those areas within the facility officially designated as publicly accessible)?

7

Protect

null

X

There is no evidence of a capability to maintain a current list of personnel with authorized access to organizational facilities (except for those areas within the facility officially designated as publicly accessible).

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • An Identity and Access Management (IAM), or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts. IAM integrates into physical access using a holistic approach to physical and logical access.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain a current list of personnel with authorized access to organizational facilities (except for those areas within the facility officially designated as publicly accessible).

CC6.4

CC6.4-POF1 CC6.4-POF2

null

DSS05.05

null

DCS-09

null

11.1.1

5.15 5.18 7.1

11.1.1

null

6.8 6.8.1 6.8.1.1

null

OR-3.1 PS-1.0 PS-1.2

null

PE-2

null

PE-2

null

PE-2

null

PE-2

null

PE-2

3.10.1

3.10.1.a 3.10.1.b 3.10.1.c 3.10.1.d

3.10.1[a] 3.10.1[b] 3.10.1[c] 3.10.1[d]

A.03.04.05[01] A.03.10.01.a[01] A.03.10.01.a[02] A.03.10.01.a[03] A.03.10.01.b A.03.10.01.c A.03.10.01.d A.03.10.07.a.01

null

PR.AA-01 PR.AA-06

null

9.2

9.1 9.2 9.2.1 9.3 9.3.1

null

9.2.1

null

9.2.1

9.2.1 9.3.1

null

F.1.2.8

null

8.4.2

null

ACCESS-3.B.MIL1 ACCESS-3.I.MIL3

AM:SG1.SP1 EC:SG2.SP2 HRM:SG2.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3

null

5.9.1.2

PE.L1-3.10.1

PE.L1-b.1.viii

PE.L2-3.10.1

PE-2

null

52.204-21(b)(1)(viii)

null

PE-2

null

164.310(a)(2)(ii) 164.310(a)(2)(iii)

null

2.B.3 PE-2

null

8-308 5-306 5-308 6-104

10.6 11.1 11.2 11.3

null

PE-2

null

PE-2

null

12.27 18.3

null

TPC-86

null

2-14-3-1

2-13-1-1

null

8.1.1 [MP.IF.1]

null

B2.a

null

11.1.1

null

8.1.11.C.01 8.1.11.C.02

null

8.5.6(a)

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Role-Based Physical Access

PES-02.1

Physical access control mechanisms exist to authorize physical access to facilities based on the position or role of the individual.

null

E-PES-03

Does the organization authorize physical access to facilities based on the position or role of the individual?

9

Protect

null

X

There is no evidence of a capability to authorize physical access to facilities based on the position or role of the individual.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • IT personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets and data.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • An Identity and Access Management (IAM), or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts. IAM integrates into physical access using a holistic approach to physical and logical access.

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

Physical & Environmental Security (PES) 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.

CC6.4

CC6.4-POF1 CC6.4-POF2

null

DSS05.05

null

DCS-09 LOG-12

null

5.15 5.18

null

OR-3.1 PS-1.0 PS-1.2

Sec 4(D)(2)(c)

null

PE-2(1)

null

PE-2(1)

null

PE-2(1)

null

PE-2(1)

null

PE-2(1)

null

3.10.1.a 3.10.1.b 3.10.1.c 3.10.1.d

null

9.1 9.2 9.2.1 9.3 9.3.1 9.3.1.1

null

9.2.1

null

9.2.1

9.2.1 9.3.1 9.3.1.1

null

F.1.2.8.2

null

3.1.1

null

ACCESS-3.E.MIL2 ACCESS-3.I.MIL3

null

5.9.1.3

null

PE-2(1)

null

164.310(a)(2)(ii) 164.310(a)(2)(iii)

null

10.6 11.1 11.2 11.3

null

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

null

3.4.3(34)

null

12.27 18.4

null

TPC-86

null

8.1.1 [MP.IF.1]

null

Article 27

null

x

NAIC

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Dual Authorization for Physical Access

PES-02.2

Mechanisms exist to enforce a "two-person rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).

null

Does the organization enforce a "two-person rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e?g?, safe, high-security cage, etc?)?

2

Protect

null

X

null

There is no evidence of a capability to enforce a "two-pers on rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).

SP-CMM1 is N/A, since a structured process is required to enforce a "two-pers on rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • An Identity and Access Management (IAM), or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts. IAM integrates into physical access using a holistic approach to physical and logical access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce a "two-pers on rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce a "two-pers on rule" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).

null

F.1.2.2

null

ACCESS-3.F.MIL2

null

8.2.8.C.01

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Physical Access Control

PES-03

Physical access control mechanisms exist to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

- Security guards - Verify individual access authorizations before granting access to the facility. - Control entry to the facility containing the system using physical access devices and/or guards. - Control access to areas officially designated as publicly accessible in accordance with the organization’s assessment of risk. - Secure keys, combinations and other physical access devices. - Change combinations and keys and when keys are lost, combinations are compromised or individuals are transferred or terminated.

E-PES-02

Does the organization enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible)?

10

Protect

null

X

There is no evidence of a capability to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

SP-CMM1 is N/A, since a structured process is required to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

CC6.4

CC6.4-POF1 CC6.4-POF2

null

DSS01.05 DSS05.05

null

DCS-07 LOG-12

PHY-01

SO9

null

11.1.1

5.15 5.18 7.1 7.4

11.1.1

null

6.6 6.6.1 6.6.1.1

null

OP-3.2 PS-1.0 PS-1.2 PS-1.5 PS-2.0

Sec 4(D)(2)(c)

null

PR.AC-P2

null

PE-3 PE-3(2) PE-3(3)

PE-3

PE-3 PE-3(2) PE-3(3)

null

PE-3

PE-3(2) PE-3(3)

null

PE-3

null

PE-3 PE-3(2)

PE-3

null

PE-3 PE-3(2)

3.10.5

3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.b 3.10.7.c 3.10.7.d

3.10.5[a] 3.10.5[b] 3.10.5[c]

A.03.10.07.a.01 A.03.10.07.a.02 A.03.10.07.d[01] A.03.10.07.d[02] A.03.10.07.d[03]

null

PR.AC-2

PR.AA-01 PR.AA-06

null

9.1 9.1.1 9.1.2 9.2 9.4.2 9.4.3

9.1 9.1.2 9.2 9.2.1

null

9.2.1

null

9.2.1

9.1.2 9.2.1

null

F.1.2.2

3.1

3.1.1 8.1.2 8.1.3 8.1.5 8.4.2

null

ACCESS-3.A.MIL1 ACCESS-3.D.MIL2 ACCESS-3.E.MIL2 ACCESS-3.F.MIL2 ACCESS-3.G.MIL2 ACCESS-3.H.MIL2 ACCESS-3.J.MIL3

AM:SG1.SP1 EC:SG2.SP1 EC:SG2.SP2

null

5.9.1.3

PE.L1-3.10.5

PE.L1-b.1.ix

PE.L2-3.10.5

PE-3

null

52.204-21(b)(1)(ix)

null

PE-3

null

D3.PC.Am.B.11 D3.PC.Am.B.17

null

6.S.B

5.M.C 6.M.E

2.B.3 2.B.3.2 2.B.3.5 PE-3 PE-3(2)

null

5-300 6-104

10.6 11.1 11.2 11.3

null

PE-3

null

17.03(2)(g)

null

622(2)(d)(C)(ii)

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

null

PE-3

null

§ 2447(b)(7)

null

PS-03 PS-04

null

9.15 12.27 18.4

null

TPC-47 TPC-82 TPC-86

null

2-14-3-1

2-13-1-3

null

8.1.1 [MP.IF.1]

null

1296

null

11.1.1

null

8.5.6(c) 5.5.6(f)

null

x

FAR 52.204-21 NAIC MA 201 CMR 17 OR 6464A

null

x

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Controlled Ingress & Egress Points

PES-03.1

Physical access control mechanisms exist to limit and monitor physical access through controlled ingress and egress points.

null

Does the organization limit and monitor physical access through controlled ingress and egress points?

9

Protect

null

X

null

There is no evidence of a capability to limit and monitor physical access through controlled ingress and egress points.

SP-CMM1 is N/A, since a structured process is required to limit and monitor physical access through controlled ingress and egress points.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit and monitor physical access through controlled ingress and egress points.

null

DSS05.05

null

DCS-07

null

7.1 7.2

null

PS-1.0 PS-1.4 PS-2.0

null

PR.AC-P2

null

3.10.7.a 3.10.7.a.1 3.10.7.a.2

null

A.03.10.07.a.02

null

9.1 9.1.1 9.1.2 9.1.3

9.2 9.2.1 9.3 9.3.1

null

9.2.1

null

9.2.1

9.2.1 9.3.1

null

F.1.2.5

null

3.1.1 8.1.2 8.1.5 8.4.2

null

5.9.1.1

null

PE.L1-b.1.ix

null

52.204-21(b)(1)(ix)

null

6.S.B

null

10.6

null

PS-03

null

12.27 18.6 18.8

null

TPC-82

null

2-14-3-1

2-13-1-3

null

5.5.6(f)

null

x

FAR 52.204-21

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Lockable Physical Casings

PES-03.2

Physical access control mechanisms exist to protect system components from unauthorized physical access (e.g., lockable physical casings).

- CCTV - Lockable server/network racks - Logged access badges to access server rooms

null

Does the organization protect system components from unauthorized physical access (e?g?, lockable physical casings)?

5

Protect

null

X

There is no evidence of a capability to protect system components from unauthorized physical access (e.g., lockable physical casings).

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to protect system components from unauthorized physical access (e.g., lockable physical casings).

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies are configured to protect system components from unauthorized physical access (e.g., lockable physical casings).

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect system components from unauthorized physical access (e.g., lockable physical casings).

null

PR.AC-P2

null

PE-3(4) SC-7(14)

null

PE-3(4) SC-7(14)

null

PE-3(4) SC-7(14)

null

SC-7(14)

null

SC-7(14)

null

9.2.4

null

9.2.4

null

F.10

null

5.M.C

null

10.5 10.6 10.8

null

18.6 18.11

null

TPC-46

null

2-13-1-4

null

8.2.5.C.01

null

8.5.6(d)

null

x

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

R-AC-1

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Physical Access Logs

PES-03.3

Physical access control mechanisms exist to generate a log entry for each access through controlled ingress and egress points.

- Visitor logbook - iLobby (https://goilobby.com/) - The Receptionist (https://thereceptionist.com/) - LobbyGuard (http://lobbyguard.com/)

E-PES-02

Does the organization generate a log entry for each access through controlled ingress and egress points?

6

Protect

null

X

There is no evidence of a capability to generate a log entry for each access through controlled ingress and egress points.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to generate a log entry for each access through controlled ingress and egress points.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies are configured to generate a log entry for each access through controlled ingress and egress points.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate a log entry for each access through controlled ingress and egress points.

null

CC6.4-POF3

null

LOG-12

null

11.1.2

7.2

11.1.2

null

OP-3.2 PS-1.1 PS-1.2

null

PE-8

null

PE-8

null

PE-8

null

3.10.4 NFO - PE-8

3.10.7.b

3.10.4

A.03.10.07.b

null

9.4.4

9.2.1 9.2.1.1

null

9.2.1

null

9.2.1

null

F.1.2.8

null

8.1.6

null

ACCESS-3.C.MIL1 ACCESS-3.J.MIL3

ADM:SG1.SP1 EC:SG2.SP2

null

PE.L1-3.10.4

PE.L1-b.1.ix

PE.L2-3.10.4

PE-8

null

52.204-21(b)(1)(ix)

null

PE-8

null

PE-8

null

PE-8

null

622(2)(d)(C)(ii)

null

PE-8

null

18.5

null

2-14-3-3

null

11.1.2

null

FAR 52.204-21 OR 6464A

null

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

R-AC-1

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-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

Physical & Environmental Security

Access To Information Systems

PES-03.4

Physical access control mechanisms exist to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.

null

Does the organization enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility?

5

Protect

null

X

There is no evidence of a capability to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.

SP-CMM1 is N/A, since a structured process is required to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.

null

DSS05.05

null

PS-1.0

null

PR.AC-P2

null

PE-3(1)

null

PE-3(1)

null

PE-3(1)

null

PE-3(1)

null

PE-3(1)

null

PE-3(1)

null

3.10.1.a 3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.c

null

A.03.04.05[02] A.03.04.05[03]

null

PR.AC-2

null

F.1.2.9

3.1

3.1.1 8.1.2 8.1.3 8.1.4

null

ARCHITECTURE-3.J.MIL2

null

PE-3(1)

null

PE-3(1)

null

PE-3(1)

null

PE-3(1)

null

11.1 11.2 11.3

null

PS-04

null

TPC-46 TPC-49

null

2-3-3-2

2-13-1-5

null

1053 1530 0813 1074

null

8.3.3.C.01 8.3.4.C.01 8.3.4.C.02 8.3.5.C.01

null

8.5.6(d)

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Physical Security of Offices, Rooms & Facilities

PES-04

Mechanisms exist to identify systems, equipment and respective operating environments that require limited physical access so that appropriate physical access controls are designed and implemented for offices, rooms and facilities.

- "clean desk" policy - Management spot checks

null

Does the organization identify systems, equipment and respective operating environments that require limited physical access so that appropriate physical access controls are designed and implemented for offices, rooms and facilities?

10

Protect

null

X

null

There is no evidence of a capability to identify systems, equipment and respective operating environments that require limited physical access so that appropriate physical access controls are designed and implemented for offices, rooms and facilities.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • Facility security mechanisms exist to monitor physical access to business-critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls are designed and implemented for offices, rooms and facilities.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls are designed and implemented for offices, rooms and facilities.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 systems, equipment and respective operating environments that require limited physical access so that appropriate physical access controls are designed and implemented for offices, rooms and facilities.

null

11.1.1 11.1.3 11.2.9

5.15 7.1 7.3 7.5 7.7

11.1.1 11.1.3 11.2.9

null

6.8 6.8.1 6.8.1.1 6.8.1.3 6.8.2.9

null

OP-3.2 PS-1.0 PS-1.2

null

PR.AC-P2

null

3.10.5

3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.b 3.10.7.c 3.10.7.d

null

PR.AA-06

null

9.3

9.3.1.1

null

9.3.1.1

null

F.1.2

3.1

3.1.1 8.1.2 8.1.3 8.1.4 8.2.5

null

5.9.1.5 5.9.2

PE.L1-3.10.5

null

PE.L1-b.1.viii

PE.L2-3.10.5

null

52.204-21(b)(1)(viii)

null

5.M.C 6.M.E

2.B.3.3 2.B.5

null

11.1 11.2 11.3

null

§ 2447(b)(7)

null

PS-04

null

9.15 18.6

null

TPC-46

null

2-14-3-5

2-13-1-4

null

11.1.1 11.1.3 11.2.9

null

8.2.6.C.01 8.2.6.C.02

null

8.5.6(e)

null

x

FAR 52.204-21

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Working in Secure Areas

PES-04.1

Physical security mechanisms exist to allow only authorized personnel access to secure areas.

- Visitor escorts

null

Does the organization allow only authorized personnel access to secure areas?

10

Protect

null

X

null

There is no evidence of a capability to allow only authorized personnel access to secure areas.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • Facility security mechanisms exist to monitor physical access to business-critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes, physical controls and technologies ensure that only authorized personnel are allowed access to secure areas.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies ensure that only authorized personnel are allowed access to secure areas.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 allow only authorized personnel access to secure areas.

null

DCS-09 HRS-03

null

11.1.2 11.1.5

5.15 7.2 7.3 7.5 7.6

11.1.2 11.1.5

null

6.8.1.2 6.8.1.5

null

OP-3.2 PS-1.0 PS-1.2

null

PR.AC-P2

null

3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.b 3.10.7.c 3.10.7.d

null

PR.AA-06

null

9.3.1.1

null

9.3.1.1

null

F.9.2

3.1

3.1.1 8.1.2 8.1.3 8.1.4 8.2.5 8.2.6 8.2.7

null

5.9.1.5 5.9.2

null

6.M.E

2.B.3 2.B.3.3

null

11.1 11.2 11.3

null

§ 2447(b)(7)

null

18.6

null

TPC-49

null

2-14-3-5

2-13-1-5

null

0164

null

11.1.2 11.1.5

null

8.5.6(e) 5.5.6(f)

null

x

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Searches

PES-04.2

Physical access control mechanisms exist to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.

null

Does the organization inspect personnel and their personal effects (e?g?, personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets?

1

Detect

null

X

null

There is no evidence of a capability to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.

SP-CMM1 is N/A, since a structured process is required to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.

SP-CMM2 is N/A, since a well-defined process is required to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) 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 inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.

null

PS-2.0

null

F.1.1.1

null

8.1.12.C.01 8.1.13.C.01 8.1.13.C.02

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Temporary Storage

PES-04.3

Physical access control mechanisms exist to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/or security guards.

null

Does the organization temporarily store undelivered packages or deliveries in a dedicated, secure area (e?g?, security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/or security guards?

2

Protect

null

X

null

There is no evidence of a capability to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/ or security guards.

SP-CMM1 is N/A, since a structured process is required to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/ or security guards.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/ or security guards.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/ or security guards.

null

OP-3.2

null

F.7.1

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Monitoring Physical Access

PES-05

Physical access control mechanisms exist to monitor for, detect and respond to physical security incidents.

null

Does the organization monitor for, detect and respond to physical security incidents?

7

Detect

X

There is no evidence of a capability to monitor for, detect and respond to physical security incidents.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • A physical security team, or similar function, monitors physical intrusion alarms and surveillance equipment.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 monitor for, detect and respond to physical security incidents.

null

CC6.4-POF3

null

DCS-10

PHY-01

SO9

null

7.4

null

PS-1.3

null

PE-6

null

PE-6

null

PE-6

null

PE-6

null

PE-6

3.10.2

3.10.1.c 3.10.2.a 3.10.2.b

null

A.03.10.02.a[01] A.03.10.02.a[02] A.03.10.02.b

null

DE.CM-2

DE.CM-02

null

9.1 9.1.1

9.2.1.1

null

9.2.1.1

null

9.2.1.1

null

J.7.7

3.1

8.1.6

null

ACCESS-3.C.MIL1 ACCESS-3.J.MIL3

EC:SG2.SP1 IMC:SG2.SP1

null

5.9.1.6

null

PE.L2-3.10.2

null

PE.L1-b.1.ix

PE.L2-3.10.2

PE-6

null

52.204-21(b)(1)(ix)

null

PE-6

null

D3.PC.Am.E.4 D3.Dc.Ev.B.5

null

PE-6

null

5-300

null

PE-6

null

622(2)(d)(C)(ii)

null

PE-6

null

18.8 18.10 18.11

null

2-14-3-2

null

5.5.5

null

x

FAR 52.204-21 OR 6464A

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Intrusion Alarms / Surveillance Equipment

PES-05.1

Physical access control mechanisms exist to monitor physical intrusion alarms and surveillance equipment.

- CCTV

null

Does the organization monitor physical intrusion alarms and surveillance equipment?

9

Detect

null

X

There is no evidence of a capability to monitor physical intrusion alarms and surveillance equipment.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to monitor for, detect and respond to physical security incidents.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • A physical security team, or similar function, monitors physical intrusion alarms and surveillance equipment. • Physical controls and technologies are configured to monitor for, detect and respond to physical security incidents.

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

Physical & Environmental Security (PES) 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

DCS-10

PHY-01

null

7.4

null

PS-1.3 PS-1.4 PS-3.0

null

PE-6(1)

null

PE-6(1)

null

PE-6(1)

null

PE-6(1)

null

3.10.2 NFO - PE-6(1)

null

9.2.1.1

null

9.2.1.1

null

9.2.1.1

null

F.1.2.5

null

8.1.6

null

PE.L2-3.10.2

null

PE.L2-3.10.2

PE-6(1)

null

PE-6(1)

null

PE-6(1)

null

PE-6(1)

null

PE-6(1)

null

PE-6(1)

null

PE-6(1)

null

PE-6(1)

null

18.9 18.11

null

2-14-3-2

2-13-1-2

null

Article 26

null

x

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

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

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

Physical & Environmental Security

Monitoring Physical Access To Information Systems

PES-05.2

Facility security mechanisms exist to monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.

null

Does the organization monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility?

5

Detect

null

X

There is no evidence of a capability to monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to monitor for, detect and respond to physical security incidents.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • A physical security team, or similar function, monitors physical intrusion alarms and surveillance equipment. • Physical controls and technologies are configured to monitor for, detect and respond to physical security incidents.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.

null

PHY-01

null

7.4

null

PS-1.3

null

PE-6(4)

null

PE-6(4)

null

PE-6(4)

null

PE-6(4)

null

3.10.2

3.10.1.c 3.10.2.a 3.10.2.b

null

9.2.1.1

null

9.2.1.1

null

9.2.1.1

null

F.10.2

null

8.1.6

null

PE.L2-3.10.2

null

PE.L2-3.10.2

null

PE-6(4)

null

PE-6(4)

null

PE-6(4)

null

PE-6(4)

null

8.5.5

null

x

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

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

null

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-1

R-IR-2

null

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

- Added NIST 800-53 R5 mapping for PE-6(4)

Physical & Environmental Security

Visitor Control

PES-06

Physical access control mechanisms exist to identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible).

- Visitor logbook - iLobby (https://goilobby.com/) - The Receptionist (https://thereceptionist.com/) - LobbyGuard (http://lobbyguard.com/)

E-PES-02

Does the organization identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible)?

9

Protect

null

X

null

There is no evidence of a capability to identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible).

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. • Administrative processes, physical controls and technologies identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible).

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

Physical & Environmental Security (PES) 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

11.1.2

7.2

11.1.2

null

OP-1.0 PS-1.1

null

PR.AC-P2

null

3.10.3

3.10.7.c

3.10.3[a] 3.10.3[b]

A.03.10.07.c[01] A.03.10.07.c[02] A.03.10.07.ODP[01]

null

9.4 9.4.1 9.4.2 9.4.3 9.4.4

9.3.2 9.3.3 9.3.4

null

9.3.2 9.3.3 9.3.4

null

F.2.1

3.1

8.1.7

null

5.9.1.7

PE.L1-3.10.3

PE.L1-b.1.ix

PE.L2-3.10.3

null

52.204-21(b)(1)(ix)

null

2.B.3.1

null

CIP-006-6 R2

null

11.1

null

PS-04

null

18.3 18.12

null

TPC-47

null

2-13-1-6

null

8.1.2 [MP.IF.2] 8.1.7 [MP.IF.7]

null

0164

null

11.1.2

null

9.4.4.C.01 9.4.5.C.01 9.4.5.C.02 9.4.6.C.01 9.4.6.C.02 9.4.7.C.01 9.4.8.C.01 9.4.9.C.01 9.4.10.C.01

null

8.5.6(b) 5.5.6(f)

null

FAR 52.204-21

null

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

null

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Distinguish Visitors from On-Site Personnel

PES-06.1

Physical access control mechanisms exist to easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible.

- Visible badges for visitors that are different from organizational personnel

null

Does the organization easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible?

8

Protect

null

X

null

There is no evidence of a capability to easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes, physical controls and technologies easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. • Administrative processes, physical controls and technologies identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible).

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible.

null

3.10.1.b

null

9.2

9.3.2

null

9.3.2

null

F.2.4

null

PE.L1-b.1.ix

null

52.204-21(b)(1)(ix)

null

TPC-47

null

FAR 52.204-21

null

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

null

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Identification Requirement

PES-06.2

Physical access control mechanisms exist to requires at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.

null

Does the organization require at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility?

8

Protect

null

X

null

There is no evidence of a capability to requires at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes require at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes require at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to requires at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to requires at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.

null

PS-1.1

null

PE-2(2)

null

PE-2(2)

null

PE-2(2)

null

9.4 9.4.1 9.4.2 9.4.3

9.3.2

null

9.3.2

null

F.2.2

null

622(2)(d)(C)(ii)

null

TPC-47

null

8.1.2 [MP.IF.2]

null

OR 6464A

null

x

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

null

R-AC-4

null

R-BC-2

null

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

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

Physical & Environmental Security

Restrict Unescorted Access

PES-06.3

Physical access control mechanisms exist to restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access.

null

Does the organization restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access?

10

Protect

null

X

null

There is no evidence of a capability to restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access.

null

PR.AC-P2

null

PE-2(3)

null

PE-2(3)

null

PE-2(3)

null

3.10.3

3.10.7.c

3.10.3[a] 3.10.3[b]

A.03.10.07.c[01]

null

9.3

9.3.2

null

9.3.2

null

F.2.3

3.1

null

PE.L1-3.10.3

PE.L1-b.1.ix

PE.L2-3.10.3

null

52.204-21(b)(1)(ix)

null

TPC-48

null

2-13-1-7

null

0164

null

9.4.7.C.01

null

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

null

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

MT-1

MT-2

MT-3

MT-4

MT-5

MT-6

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Automated Records Management & Review

PES-06.4

Automated mechanisms exist to facilitate the maintenance and review of visitor access records.

null

E-PES-02

Does the organization use automated mechanisms to facilitate the maintenance and review of visitor access records?

5

Protect

null

X

There is no evidence of a capability to facilitate the maintenance and review of visit or access records.

SP-CMM1 is N/A, since a structured process is required to facilitate the maintenance and review of visit or access records.

SP-CMM2 is N/A, since a well-defined process is required to facilitate the maintenance and review of visit or access records.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the maintenance and review of visit or access records.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the maintenance and review of visit or access records.

null

PE-8(1)

null

PE-8(1)

null

PE-8(1)

null

PE-8(1)

null

F.2.5

null

PE-8(1)

null

PE-8(1)

null

PE-8(1)

null

PE-8(1)

null

9.4.9.C.01

null

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

R-AC-1

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

null

R-BC-5

null

R-GV-1

R-GV-2

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Physical & Environmental Security

Minimize Visitor Personal Data (PD)

PES-06.5

Mechanisms exist to minimize the collection of Personal Data (PD) contained in visitor access records.

null

Does the organization minimize the collection of Personal Data (PD) contained in visitor access records?

3

Protect

null

X

There is no evidence of a capability to minimize the collection of Personal Data (PD) contained in visit or access records.

SP-CMM1 is N/A, since a structured process is required to minimize the collection of Personal Data (PD) contained in visit or access records.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to minimize the collection of Personal Data (PD) contained in visit or access records.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to minimize the collection of Personal Data (PD) contained in visit or access records.

null

PE-8(3) PM-25 SA-8(33)

null

PM-25

null

PM-25

null

9.3.4

null

9.3.4

null

P.5

null

6-1-1308(3)

null

9.4.9.C.01

null

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

null

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

null

R-IR-4

R-SA-1

R-SA-2

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

Physical & Environmental Security

Visitor Access Revocation

PES-06.6

Mechanisms exist to ensure visitor badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.

null

Does the organization ensure visitor badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration?

7

Protect

null

X

There is no evidence of a capability to ensure visit or badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.

SP-CMM1 is N/A, since a structured process is required to ensure visit or badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure visit or badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure visit or badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.

null

9.3.3

null

9.3.3

null

F.1.2.8.1

null

TPC-47

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

null

R-AC-4

R-AM-1

R-AM-2

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

null

MT-8

MT-9

MT-10

null

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Supporting Utilities

PES-07

Facility security mechanisms exist to protect power equipment and power cabling for the system from damage and destruction.

null

E-PES-01

Does the organization protect power equipment and power cabling for the system from damage and destruction?

9

Protect

null

X

null

There is no evidence of a capability to protect power equipment and power cabling for the system from damage and destruction.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect power equipment and power cabling for the system from damage and destruction.

A1.2

null

DSS01.04

null

DCS-12 DCS-14

null

SO10

null

11.2.2 11.2.3

7.11 7.12

11.2.2 11.2.3

null

6.8.2.2 6.8.2.3

null

PS-3.1

null

PE-9

null

PE-9

null

PE-9

null

PE-9

null

PR.IR-02

null

F.3.1

null

EC:SG2.SP1

null

PE-9

null

PE-9

null

PE-9

null

PE-9

null

PE-9

null

PE-9

null

PE-9

null

3.4.3(35)

null

PS-01 PS-06

null

8.1.3 [MP.IF.3] 8.1.4 [MP.IF.4]

null

11.2.2 11.2.3

null

8.3.3.C.01 8.3.4.C.01 8.3.4.C.02 8.3.5.C.01

null

8.5.2 8.5.2(a) 8.5.2(b) 8.5.2(c)

null

x

null

x

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Automatic Voltage Controls

PES-07.1

Facility security mechanisms exist to utilize automatic voltage controls for critical system components.

null

Does the organization utilize automatic voltage controls for critical system components?

8

Protect

null

X

null

There is no evidence of a capability to utilize automatic voltage controls for critical system components.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 automatic voltage controls for critical system components.

A1.2

null

DSS01.04

null

11.2.2

7.11

11.2.2

null

6.8.2.2

null

PS-3.1

null

PE-9(2)

null

PE-9(2)

null

PE-9(2)

null

F.5

null

3.4.3(35)

null

8.1.4 [MP.IF.4]

null

11.2.2

null

x

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

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

Physical & Environmental Security

Emergency Shutoff

PES-07.2

Facility security mechanisms exist to shut off power in emergency situations by: ▪ Placing emergency shutoff switches or devices in close proximity to systems or system components to facilitate safe and easy access for personnel; and ▪ Protecting emergency power shutoff capability from unauthorized activation.

null

Does the organization shut off power in emergency situations by: ▪ Placing emergency shutoff switches or devices in close proximity to systems or system components to facilitate safe and easy access for personnel; and ▪ Protecting emergency power shutoff capability from unauthorized activation?

8

Protect

null

X

null

There is no evidence of a capability to shut off power in emergency situations by: ▪ Placing emergency shutoff switches or devices in close proximity to systems or system components to facilitate safe and easy access for personnel; and ▪ Protecting emergency power shutoff capability from unauthorized activation.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 shut off power in emergency situations by: ▪ Placing emergency shutoff switches or devices in close proximity to systems or system components to facilitate safe and easy access for personnel; and ▪ Protecting emergency power shutoff capability from unauthorized activation.

A1.2

null

DSS01.04

null

11.2.2

7.11

11.2.2

null

PS-3.1

null

PE-10

null

PE-10

null

PE-10

null

PE-10

null

F.3.12

null

EC:SG4.SP1 EC:SG4.SP2

null

PE-10

null

PE-10

null

PE-10

null

PE-10

null

PE-10

null

PE-10

null

PE-10

null

11.2.2

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

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

Physical & Environmental Security

Emergency Power

PES-07.3

Facility security mechanisms exist to supply alternate power, capable of maintaining minimally-required operational capability, in the event of an extended loss of the primary power source.

null

Does the organization supply alternate power, capable of maintaining minimally-required operational capability, in the event of an extended loss of the primary power source?

8

Protect

null

X

null

There is no evidence of a capability to supply alternate power, capable of maintaining minimally-required operational capability, in the event of an extended loss of the primary power source.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 supply alternate power, capable of maintaining minimally-required operational capability, in the event of an extended loss of the primary power source.

A1.2

null

DSS01.04

null

CR 7.5 (11.7)

null

11.2.2

7.11

11.2.2

null

PS-3.1

null

PE-11 PE-11(1) PE-11(2)

null

PE-11

PE-11 PE-11(1) PE-11(2)

null

PE-11

PE-11 PE-11(1)

null

PE-11

PE-11 PE-11(1)

null

PR.IR-02

null

F.6.1

null

EC:SG4.SP1 EC:SG4.SP2 TM:SG5.SP1

null

PE-11

null

PE-11 PE-11(1)

null

PE-11

PE-11 PE-11(1)

null

PE-11 PE-11(1)

null

PE-11

PE-11 PE-11(1)

null

PE-11

null

PE-11

null

PS-01 PS-06

null

18.14 18.15

null

1123

null

11.2.2

null

x

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

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

Physical & Environmental Security

Emergency Lighting

PES-07.4

Facility security mechanisms exist to utilize and maintain automatic emergency lighting that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

null

Does the organization utilize and maintain automatic emergency lighting that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility?

7

Protect

null

X

null

There is no evidence of a capability to utilize and maintain automatic emergency lighting that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 and maintain automatic emergency lighting that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

A1.2

null

DSS01.04

null

11.2.2

7.11

11.2.2

null

PS-3.1

null

PE-12

null

PE-12

null

PE-12

null

PR.IR-02

null

F.1.2.15

null

EC:SG4.SP1 EC:SG4.SP2

null

PE-12

null

PE-12

null

PE-12

null

PE-12

null

PE-12

null

18.16

null

11.2.2

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

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

Physical & Environmental Security

Water Damage Protection

PES-07.5

Facility security mechanisms exist to protect systems from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly and known to key personnel.

- Water leak sensors - Humidity sensors

null

Does the organization protect systems from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly and known to key personnel?

8

Protect

null

X

null

There is no evidence of a capability to protect systems from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly and known to key personnel.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect systems from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly and known to key personnel.

A1.2

null

DSS01.04

null

DCS-13

null

PS-3.1

null

PE-15

null

PE-15

null

PE-15

null

PR.IR-02

null

F.3.4

null

EC:SG4.SP1 EC:SG4.SP2

null

PE-15

null

PE-15

null

PE-15

null

PE-15

null

3.4.3(35)

null

PS-01

null

18.19

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Automation Support for Water Damage Protection

PES-07.6

Facility security mechanisms exist to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel.

null

Does the organization detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel?

5

Protect

null

X

null

There is no evidence of a capability to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel.

SP-CMM1 is N/A, since a structured process is required to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel.

null

DSS01.04

null

PE-15(1)

null

PE-15(1)

null

PE-15(1)

null

PE-15(1)

null

F.3.4

null

PE-15(1)

null

PE-15(1)

null

PE-15(1)

null

PE-15(1)

null

8.1.6 [MP.IF.6]

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Redundant Cabling

PES-07.7

Mechanisms exist to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

null

Does the organization employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged?

2

Protect

null

X

There is no evidence of a capability to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

SP-CMM1 is N/A, since a structured process is required to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

null

PE-9(1)

null

PE-9(1)

null

F.3.9

null

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

null

R-AM-1

null

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

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-8 MT-9 MT-10 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

null

MT-8

MT-9

MT-10

null

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Fire Protection

PES-08

Facility security mechanisms exist to utilize and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source.

null

E-PES-01

Does the organization utilize and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source?

7

Protect

null

X

null

There is no evidence of a capability to Facility security utilize and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 Facility security utilize and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source.

A1.2

null

DSS01.04

null

DCS-13

null

PS-3.1

null

PE-13

null

PE-13

null

PE-13

null

PR.IR-02

null

F.3.8

null

EC:SG2.SP1 EC:SG4.SP1 EC:SG4.SP2

null

PE-13

null

PE-13

null

PE-13

null

PE-13

null

3.4.3(35)

null

PS-01 PS-05

null

18.17

null

8.1.5 [MP.IF.5]

null

8.5.3 8.5.4

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Fire Detection Devices

PES-08.1

Facility security mechanisms exist to utilize and maintain fire detection devices/systems that activate automatically and notify organizational personnel and emergency responders in the event of a fire.

null

Does the organization utilize and maintain fire detection devices/systems that activate automatically and notify organizational personnel and emergency responders in the event of a fire?

9

Detect

null

X

null

There is no evidence of a capability to utilize and maintain fire detection devices/systems that activate automatically and notify organizational personnel and emergency responders in the event of a fire.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 and maintain fire detection devices/systems that activate automatically and notify organizational personnel and emergency responders in the event of a fire.

A1.2

null

DSS01.04

null

PS-3.1

null

PE-13(1)

null

PE-13(1)

null

PE-13(1)

null

PE-13(1)

null

PR.IR-02

null

F.1.2

null

PE-13(1)

null

PE-13(1)

null

PE-13(1)

null

PE-13(1)

null

PE-13(1)

null

PS-05

null

18.17

null

8.5.3 8.5.4

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Fire Suppression Devices

PES-08.2

Facility security mechanisms exist to utilize fire suppression devices/systems that provide automatic notification of any activation to organizational personnel and emergency responders.

null

Does the organization utilize fire suppression devices/systems that provide automatic notification of any activation to organizational personnel and emergency responders?

3

Protect

null

X

null

There is no evidence of a capability to utilize fire suppression devices/systems that provide automatic notification of any activation to organizational personnel and emergency responders.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 fire suppression devices/systems that provide automatic notification of any activation to organizational personnel and emergency responders.

A1.2

null

DSS01.04

null

PE-13(2)

null

PE-13(2)

null

PE-13(2)

null

PE-13(2)

null

F.3.8

null

PE-13(2)

null

PE-13(2)

null

PE-13(2)

null

PE-13(2)

null

PE-13(2)

null

PE-13(2)

null

PE-13(2)

null

PS-05

null

18.17

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Automatic Fire Suppression

PES-08.3

Facility security mechanisms exist to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.

null

Does the organization employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis?

5

Respond

null

X

There is no evidence of a capability to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.

SP-CMM1 is N/A, since a structured process is required to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.

null

DSS01.04

null

PE-13(3)

null

PE-13(3)

PE-13(2)

null

PE-13(2)

null

PE-13(2)

null

F.5.3

null

PE-13(3)

null

PE-13(3)

null

PE-13(3)

null

PE-13(2)

null

PE-13(2)

null

PE-13(3)

null

PS-05

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Temperature & Humidity Controls

PES-09

Facility security mechanisms exist to maintain and monitor temperature and humidity levels within the facility.

null

E-PES-01

Does the organization maintain and monitor temperature and humidity levels within the facility?

9

Protect

null

X

There is no evidence of a capability to maintain and monitor temperature and humidity levels within the facility.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain and monitor temperature and humidity levels within the facility.

A1.2

A1.2-POF2 A1.2-POF4

null

DSS01.04

null

PS-3.1

null

PE-14

null

PE-14

null

PE-14

null

PR.IR-02

null

F.3.5

null

EC:SG4.SP1 EC:SG4.SP2

null

PE-14

null

PE-14

null

PE-14

null

PE-14

null

3.4.3(35)

null

PS-06 PS-07

null

18.18

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

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

Physical & Environmental Security

Monitoring with Alarms / Notifications

PES-09.1

Facility security mechanisms exist to trigger an alarm or notification of temperature and humidity changes that be potentially harmful to personnel or equipment.

null

Does the organization trigger an alarm or notification of temperature and humidity changes that be potentially harmful to personnel or equipment?

8

Detect

null

X

There is no evidence of a capability to trigger an alarm or notification of temperature and humidity changes that be potentially harmful to personnel or equipment.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 trigger an alarm or notification of temperature and humidity changes that be potentially harmful to personnel or equipment.

A1.2

A1.2-POF2 A1.2-POF4

null

DSS01.04

null

PS-3.1

null

PE-14(2)

null

PE-14(2)

null

PE-14(2)

null

F.1.2

null

PE-14(2)

null

PE-14(2)

null

PE-14(2)

null

PE-14(2)

null

PE-14(2)

null

PE-14(2)

null

PS-06 PS-07

null

18.18

null

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

null

R-AM-1

null

R-AM-3

R-BC-1

null

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

null

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

Physical & Environmental Security

Delivery & Removal

PES-10

Physical security mechanisms exist to isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access.

null

Does the organization isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access?

8

Protect

null

X

There is no evidence of a capability to isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes and physical controls isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access.

A1.2

null

11.1.6

7.2

11.1.6

null

6.8.1.6

null

OP-1.0

null

PE-16

null

PE-16

null

PE-16

null

PE-16

null

PE-16

NFO - PE-16

null

F.3.2

null

AM:SG1.SP1 EC:SG2.SP2

null

5.9.1.8

null

PE-16

null

PE-16

null

PE-16

null

PE-16

null

622(2)(d)(C)(ii)

null

PE-16

null

18.20

null

11.1.6

null

5.5.6(f)

null

x

OR 6464A

null

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

R-AC-1

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-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-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

Physical & Environmental Security

Alternate Work Site

PES-11

Physical security mechanisms exist to utilize appropriate management, operational and technical controls at alternate work sites.

null

Does the organization utilize appropriate management, operational and technical controls at alternate work sites?

8

Protect

null

X

There is no evidence of a capability to utilize appropriate management, operational and technical controls at alternate work sites.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes, physical controls and technologies are employed at alternate work sites to provide “equal protection” of physical and digital assets.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies are employed at alternate work sites to provide “equal protection” of physical and digital assets.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 appropriate management, operational and technical controls at alternate work sites.

A1.2

null

PE-17

null

PE-17

null

PE-17

null

PE-17

null

PE-17

null

PE-17

3.10.6

3.10.6.a 3.10.6.b

3.10.6[a] 3.10.6[b]

A.03.10.06.a A.03.10.06.b A.03.10.06.ODP[01]

null

C.4.3

null

EC:SG2.SP1

null

PE.L2-3.10.6

null

PE.L2-3.10.6

PE-17

null

PE-17

null

PE-17

null

PE-17

null

PE-17

null

PE-17

null

PE-17

null

PE-17

null

PE-17

null

PS-02

null

18.21

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-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Equipment Siting & Protection

PES-12

Physical security mechanisms exist to locate system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.

null

Does the organization locate system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access?

9

Protect

X

There is no evidence of a capability to locate system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • Facility security mechanisms exist to protect the system from information leakage due to electromagnetic signals emanations.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 locate system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.

A1.2

null

DCS-15

PHY-01

null

11.1.4 11.2.1 11.2.3

7.3 7.5 7.8 7.12

11.1.4 11.2.1 11.2.3

null

6.8.1.4 6.8.2 6.8.2.1 6.8.2.3

null

PS-1.0

null

PE-18 PE-18(1) SC-7(14)

null

PE-18

PE-18 PE-23 SC-7(14)

null

PE-18

PE-23 SC-7(14)

null

PE-18

null

PE-18 PE-23 SC-7(14)

null

PE-23

PE-18

PE-18 PE-23 SC-7(14)

3.10.1

3.10.8.a 3.10.8.b

null

9.2.2 9.2.3 9.2.4

null

9.2.2

null

9.2.2 9.2.3 9.2.4

null

D.1.1.11

null

8.1.4

null

EC:SG2.SP1

null

PE.L1-3.10.1

null

PE.L1-b.1.viii

PE.L2-3.10.1

PE-18

null

52.204-21(b)(1)(viii)

null

PE-18

null

PE-18

null

PE-18

null

PE-18

null

6.M.E

null

18.7 18.13 18.22

null

8.1.3 [MP.IF.3]

null

1644

null

11.1.4 11.2.1 11.2.3

null

8.3.3.C.01 8.3.4.C.01 8.3.4.C.02 8.3.5.C.01

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Transmission Medium Security

PES-12.1

Physical security mechanisms exist to protect power and telecommunications cabling carrying data or supporting information services from interception, interference or damage.

null

Does the organization protect power and telecommunications cabling carrying data or supporting information services from interception, interference or damage?

9

Protect

null

X

There is no evidence of a capability to protect power and telecommunications cabling carrying data or supporting information services from interception, interference or damage.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect power and telecommunications cabling carrying data or supporting information services from interception, interference or damage.

null

11.2.3

7.12

11.2.3

null

6.8.2.3

null

PE-4 SC-7(14)

null

PE-4

PE-4 SC-7(14)

null

PE-4

SC-7(14)

null

PE-4

null

SC-7(14)

null

SC-7(14)

3.10.1

3.10.8.a

null

A.03.10.08.a

null

9.1.2 9.1.3

9.2.2 9.2.3

null

9.2.2

null

9.2.2 9.2.3

null

F.3.11

null

EC:SG2.SP1

null

5.9.1.4

PE.L1-3.10.1

null

PE.L1-b.1.viii

PE.L2-3.10.1

PE-4

null

52.204-21(b)(1)(viii)

null

PE-4

null

PE-4

null

PE-4

null

PE-4

null

6.M.E

PE-4

null

CIP-014-2 R5

8-605

null

PE-4

null

622(2)(d)(C)(ii)

null

PE-4

null

9.15 18.13

null

0181 0187 0189 0194 0195 0198 0201 0206 0208 0211 0213 0216 0217 0926 1095 1096 1098 1100 1101 1102 1103 1104 1105 1107 1109 1111 1112 1114 1115 1116 1119 1122 1130 1133 1164 1216 1639 1640 1718 1719 1720 1721 0218

null

11.2.3

null

8.3.3.C.01 8.3.3.C.02 8.3.4.C.01 8.3.4.C.02 8.3.5.C.01 10.1.42.C.01 10.1.42.C.02 10.1.43.C.01 10.1.43.C.02 10.1.43.C.03 10.1.43.C.04 10.1.44.C.01 10.1.45.C.01 10.1.45.C.02 10.1.46.C.01 10.1.46.C.02 10.1.46.C.03 10.1.46.C.04 10.1.47.C.01 10.1.47.C.02 10.1.48.C.01 10.1.48.C.02 10.1.48.C.03 10.1.49.C.01 10.1.50.C.01 10.1.50.C.02 10.1.50.C.03 10.1.50.C.04 10.1.51.C.01 10.2.6.C.01 10.2.6.C.02 10.2.7.C.01 10.2.8.C.01 10.2.9.C.01 10.2.10.C.01 10.3.5.C.01 10.3.6.C.01 10.3.6.C.02 10.3.7.C.01 10.3.8.C.01 10.3.9.C.01 10.3.10.C.01 10.3.11.C.01 10.3.12.C.01 10.3.13.C.01 10.4.4.C.01 10.4.4.C.02 10.4.5.C.01 10.4.5.C.02 10.4.6.C.01 10.4.6.C.02 10.4.6.C.03 10.4.7.C.01 10.4.7.C.02 10.4.8.C.01 10.4.9.C.01 10.4.9.C.02 10.4.9.C.03 10.4.9.C.04 10.4.10.C.01 10.4.11.C.01 10.4.12.C.01 10.4.13.C.01 10.4.13.C.02 10.5.4.C.01 10.5.5.C.01 10.5.6.C.01 10.5.6.C.02 10.5.7.C.01 10.5.8.C.01 10.5.8.C.02 10.5.9.C.01 10.5.9.C.02 10.5.10.C.01 10.5.10.C.02 10.5.11.C.01 10.6.22.C.01 10.6.22.C.02 10.6.23.C.01 10.6.23.C.02 10.6.23.C.03 10.6.23.C.04 10.6.24.C.01 10.6.24.C.02 10.6.25.C.01 10.6.26.C.01 10.6.27.C.01 10.6.28.C.01 10.6.28.C.02 10.6.29.C.01 10.6.30.C.01 10.6.31.C.01

null

x

FAR 52.204-21 OR 6464A

null

x

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

R-GV-8

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

Physical & Environmental Security

Access Control for Output Devices

PES-12.2

Physical security mechanisms exist to restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output.

- Printer management (print only when at the printer with proximity card or code)

null

Does the organization restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output?

8

Protect

null

X

There is no evidence of a capability to restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output.

SP-CMM1 is N/A, since a structured process is required to restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes, physical controls and technologies restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output.

PI1.4

null

PE-5

null

PE-5

null

PE-5

null

PE-5

null

3.10.1

3.10.8.b

null

A.03.10.08.b

null

9.2.2 9.2.3

null

9.2.2

null

9.2.2 9.2.3

null

D.10.16

null

KIM:SG2.SP2 TM:SG2.SP2

null

5.9.1.5

PE.L1-3.10.1

null

PE.L1-b.1.viii

PE.L2-3.10.1

PE-5

null

52.204-21(b)(1)(viii)

null

PE-5

null

PE-5

null

PE-5

null

PE-5

null

6.M.E

PE-5

null

8-310

null

PE-5

null

622(2)(d)(C)(ii)

null

PE-5

null

18.7

null

1036

null

x

FAR 52.204-21 OR 6464A

null

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

R-AC-1

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Information Leakage Due To Electromagnetic Signals Emanations

PES-13

Facility security mechanisms exist to protect the system from information leakage due to electromagnetic signals emanations.

null

Does the organization protect the system from information leakage due to electromagnetic signals emanations?

5

Protect

null

X

There is no evidence of a capability to protect the system from information leakage due to electromagnetic signals emanations.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • Facility security mechanisms exist to protect the system from information leakage due to electromagnetic signals emanations.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies protect the system from information leakage due to electromagnetic signals emanations.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies protect the system from information leakage due to electromagnetic signals emanations.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect the system from information leakage due to electromagnetic signals emanations.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect the system from information leakage due to electromagnetic signals emanations.

A1.2

null

8.12

null

PR.DS-P5

null

PE-19

null

PE-19

null

PE-19

null

PR.DS-5

null

D.8.2

null

D3.PC.Am.B.15 D3.PC.Am.Int.1 D3.PC.De.Int.1 D3.DC.Ev.Int.1

null

4.M.C 4.M.E

4.M.C 4.M.E 2.L.A 2.L.C 2.L.D 4.L.A

null

0249 0246 0250

null

10.7.6.C.01 10.7.6.C.02 10.7.7.C.01 10.7.7.C.02 10.7.8.C.01 10.7.9.C.01

null

x

null

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

R-AC-1

null

R-AC-4

R-AM-1

null

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Asset Monitoring and Tracking

PES-14

Physical security mechanisms exist to employ asset location technologies that track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.

- RFID tagging

null

Does the organization employ asset location technologies that track and monitor the location and movement of organization-defined assets within organization-defined controlled areas?

6

Detect

null

X

There is no evidence of a capability to employ asset location technologies that track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.

SP-CMM1 is N/A, since a structured process is required to employ asset location technologies that track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies administrative processes, physical controls and technologies utilize asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.

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

Physical & Environmental Security (PES) 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

PE-20

null

PE-20

null

PE-20

null

PE-20

null

PE-20

null

D.1.1.7

null

ADM:SG1.SP1 ADM:SG3.SP1

null

x

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

R-AC-1

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

null

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Electromagnetic Pulse (EMP) Protection

PES-15

Physical security mechanisms exist to employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components.

- EMP shielding (Faraday cages)

null

Does the organization employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components?

1

Protect

null

X

There is no evidence of a capability to employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components.

SP-CMM1 is N/A, since a structured process is required to employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components.

A1.2

null

PE-21

null

PE-21

null

D.8.2

null

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

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-1

null

R-GV-1

null

NT-9 MT-4 MT-6 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15

null

NT-9

null

MT-4

null

MT-6

null

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Component Marking

PES-16

Physical security mechanisms exist to mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.

null

Does the organization mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component?

3

Protect

null

X

null

There is no evidence of a capability to mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.

Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes and physical controls mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.

null

PE-22

null

PE-22

null

D.3.6

null

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

R-AC-1

null

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

null

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

MT-15

null

Physical & Environmental Security

Proximity Sensor

PES-17

Automated mechanisms exist to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.

null

Does the organization use automated mechanisms to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario?

9

Protect

null

X

There is no evidence of a capability to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.

SP-CMM1 is N/A, since a structured process is required to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.

SP-CMM2 is N/A, since a well-defined process is required to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical proximity to robotic or autonomous platforms is continuously monitored to automatically change the operating state to reduce applied force or stop the operation when physical proximity sensors indicate a dangerous setting.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.

null

D.10

null

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

null

R-AM-3

R-BC-1

R-BC-2

R-BC-3

R-BC-4

null

R-EX-6

null

R-GV-1

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

MT-10

MT-11

MT-12

MT-13

MT-14

null

Physical & Environmental Security

On-Site Client Segregation

PES-18

Mechanisms exist to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.

null

Does the organization ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces?

6

Protect

X

null

There is no evidence of a capability to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.

SP-CMM1 is N/A, since a structured process is required to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.

SP-CMM2 is N/A, since a well-defined process is required to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls are designed and implemented for offices, rooms and facilities.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.

null

L.26

null

8.1.8

null

TPC-38

null

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

R-AC-1

R-AC-2

R-AC-3

R-AC-4

R-AM-1

R-AM-2

null

R-BC-1

R-BC-2

R-BC-3

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

R-EX-6

R-EX-7

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

R-IR-2

R-IR-3

R-IR-4

R-SA-1

null

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

NT-1

NT-2

NT-3

NT-4

NT-5

NT-6

NT-7

NT-8

NT-9

NT-10

NT-11

NT-12

NT-13

NT-14

null

MT-8

MT-9

MT-10

null

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Data Privacy Program

PRI-01

Mechanisms exist to facilitate the implementation and operation of data privacy controls.

null

E-GOV-02 E-GOV-08

Does the organization facilitate the implementation and operation of data privacy controls?

10

Identify

X

There is no evidence of a capability to facilitate the implementation and operation of data privacy controls.

Privacy (PRI) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity. • Formal roles and responsibilities for data privacy may exist. • No formal data privacy principles are identified for the organization. • An ad hoc approach to Data Protection Impact Assessment (DPIA) exists. • Compliance efforts are not tied into an enterprise-wide cybersecurity and/ or data privacy program.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for cybersecurity-related data privacy practices. • A Chief Privacy Officer (CPO), or similar function, analyzes the organization’s business strategy to develop and publish authoritative guidance on the organization’s data privacy program. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for cybersecurity-related data privacy practices. • 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 data privacy. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program. • A Privacy program, run by a CPO, or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

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

P1.0

CC2.3-POF7

null

APO04.01 APO13.02

null

DSP-02 DSP-14

LGL-04

null

18.1.4

5.1 5.34

18.1.4

null

7.1 7.4 8.3 8.3.1 8.4 8.5.1

5.1 5.10

null

MAP 1.6

GV.PO-P1 GV.PO-P5 GV.PO-P6 CT.PO-P2 CM.PO-P1 CM.AW-P2 PR.PO-P9

null

PM-18 PT-1

null

PM-18 PT-1

null

PM-18 PT-1

PT-1

null

P.2

null

9.2 9.4

null

§ 1232h

null

164.500 164.502 164.530(j) 164.530(j)(1)

null

PM-18 PT-1

null

5.5

null

7004(a) 7010(a)

null

6-1-1305(2) 6-1-1305(7) 6-1-1308(1)(c)(I) 6-1-1308(1)(c)(II) 6-1-1308(6) 6-1-105(1)(nnn)

null

59.1-578.B 59.1-579.A 59.1-579.A.1 59.1-579.A.2 59.1-579.A.3

null

Inferred Expectation

Art 32.1 Art 32.2 Art 32.3 Art 32.4

null

Principle 2.7.a

Sec 14 Sec 15

Art 4

Inferred Expectation

Sec 8 Sec 9

Inferred Expectation

null

Inferred Expectation

null

Inferred Expectation

30(1)(a) 30(1)(b)(i) 30(1)(b)(ii) 30(1)(b)(iii) 30(1)(b)(iv) 30(1)(b)(v) 30(1)(b)(vi) 30(1)(b)(vii) 30(1)(b)(viii) 30(2) 30(3)

Inferred Expectation

4.1(3)

Inferred Expectation

Article 2 Article 3 Article 8.1

Inferred Expectation

null

Article 5.1 Article 59 Article 59.1 Article 59.2 Article 59.3 Article 59.4 Article 59.5 Article 59.6 Article 59.7 Article 59.8 Article 59.9 Article 59.10 Article 59.11

Inferred Expectation

Sec 19 Sec 20 Sec 60

Inferred Expectation

8.7.1 [MP.INFO.1]

Inferred Expectation

null

Inferred Expectation

Article 24(1) Article 24(2) Article 24(3)

null

Inferred Expectation

APP 1

null

Inferred Expectation

Article 7 Article 16 Article 51 Article 51(1) Article 51(2) Article 51(3) Article 51(4) Article 51(5) Article 51(6) Article 58 Article 58(1) Article 58(2) Article 58(3) Article 58(4) Article 59

Inferred Expectation

Article 24(3) Article 26(1) Article 26(1)(i) Article 26(1)(ii) Article 26(2) Article 26(3) Article 26(4) Article 26-2(1) Article 26-2(1)(i) Article 26-2(1)(ii) Article 26-2(2) Article 26-2(3) Article 36 Article 37 Article 38 Article 39 Article 51(1) Article 51(2) Article 52(1) Article 53(2) Article 53(3) Article 53(1) Article 53(2) Article 53(3) Article 53(4) Article 54 Article 55

18.1.4

Sec 23

null

Inferred Expectation

Sec 12

null

Art 3 Art 30

Inferred Expectation

Art 2

null

Sec 6

null

Art 6.8 Art 6.10 Art 50

null

Principle 1 Principle 8

Inferred Expectation

Art 4

Art 10

Art 6 Art 14 Art 30

Art 12 Art 31

Art 5

null

x

null

x

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

R-AC-1

R-AC-2

null

R-AC-4

null

R-AM-2

R-AM-3

null

R-BC-2

null

R-BC-4

R-BC-5

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-1

null

R-IR-3

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

MT-16

null

Data Privacy

Chief Privacy Officer (CPO)

PRI-01.1

Mechanisms exist to appoints a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program.

null

E-HRS-08

Does the organization appoints a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program?

3

Identify

X

null

There is no evidence of a capability to appoint a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program.

SP-CMM1 is N/A, since a structured process is required to appoint a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 appoint a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program.

null

1.1.0 1.1.2 1.2.1 1.2.2 1.2.8 1.2.9 2.1.0 4.2.3 8.2.1

null

A.10.11 A.10.12

6.15.1.4

5.10

null

GV.PO-P5

null

AR-1

null

PM-19

null

PM-19

null

PM-19

null

P.2.2

null

COMP:SG2.SP1 EF:SG2.SP1 EF:SG2.SP2

null

AR-1

null

164.530 164.530(a) 164.530(a)(1) 164.530(a)(2)

null

PM-19

null

6-1-1308(1)(c)(I) 6-1-1308(1)(c)(II) 6-1-1308(6)

null

Art 37.1 Art 38.1 Art 39.1 Art 39.2

null

Principle 2.7.a

null

Art 6

null

Art 32

Sec 4d Sec 4f Sec 4g

null

Sec 24

Sec 2

null

Sec 16 Sec 17

Sec 30

null

Art 46

null

Article 8.1

Art 23

null

Sec 55 Sec 56

null

Sec 30 Sec 38

null

Sec 21

null

Article 9 Article 52

null

Article 21

null

Sec 11

null

Art 31

null

Art 10

null

Art 6.8 Art 6.10

null

Art 7 Art 11

Art 17 Art 18

Art 11

null

Art 12

null

x

null

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

R-AC-1

null

R-AC-4

null

R-AM-2

R-AM-3

null

R-BC-2

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

null

R-IR-4

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Privacy Act Statements

PRI-01.2

Mechanisms exist to provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested.

null

Does the organization provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested?

2

Identify

null

X

null

There is no evidence of a capability to provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested.

SP-CMM1 is N/A, since a structured process is required to provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested.

P1.1

null

10.2.3

null

8.5.1 8.5.2

null

CM.PO-P1 CM.AW-P1

null

TR-2

null

PT-5(2)

null

P.5.2.1

null

COMM:SG1.SP1

null

TR-2

null

Chapter29-Schedule1-Part1-Principles 8

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-4 R-GV-6 R-GV-7

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

R-GV-4

null

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Dissemination of Data Privacy Program Information

PRI-01.3

Mechanisms exist to: ▪ Ensure that the public has access to information about organizational data privacy activities and can communicate with its Chief Privacy Officer (CPO) or similar role; ▪ Ensure that organizational data privacy practices are publicly available through organizational websites or otherwise; and ▪ Utilize publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to data privacy office(s) regarding data privacy practices.

null

Does the organization: ▪ Ensure that the public has access to information about organizational data privacy activities and can communicate with its Chief Privacy Officer (CPO) or similar role; ▪ Ensure that organizational data privacy practices are publicly available through organizational websites or otherwise; and ▪ Utilize publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to data privacy office(s) regarding data privacy practices?

5

Identify

X

null

There is no evidence of a capability to: ▪ Ensure that the public has access to information about organizational data privacy activities and can communicate with its Chief Privacy Officer (CPO) or similar role; ▪ Ensure that organizational data privacy practices are publicly available through organizational websites or otherwise; and ▪ Utilize publicly facing email addresses and/ or phone lines to enable the public to provide feedback and/ or direct questions to data privacy offices regarding data privacy practices.

Privacy (PRI) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity. • Formal roles and responsibilities for data privacy may exist. • No formal data privacy principles are identified for the organization. • An ad hoc approach to Data Protection Impact Assessment (DPIA) exists. • Compliance efforts are not tied into an enterprise-wide cybersecurity and/ or data privacy program.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

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

Privacy (PRI) 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.

P1.1

null

2.1.1 2.2.1 2.2.2 2.2.3 3.1.0 3.1.1 3.1.2 4.1.0 4.1.1 4.2.4 5.1.0 5.1.1 6.1.0 7.1.0 7.1.1 8.1.0 8.1.1 9.1.0 9.1.1 10.1.0 10.1.1

null

5.1

null

7.3.3 8.5.1 8.5.6

null

GV.PO-P1 CM.PO-P1 CM.AW-P1

null

TR-3

null

PM-20

null

PM-20

null

PM-20

null

P.7.3

null

COMM:SG1.SP1

null

TR-3

null

7001(w) 7002(a)(1) 7002(a)(2) 7002(b) 7002(b)(1) 7002(b)(2) 7002(b)(3) 7002(b)(4) 7002(b)(5) 7002(c)(1) 7002(c)(2) 7002(c)(3) 7010(a) 7010(b) 7010(e) 7011(a) 7011(b) 7011(c) 7011(d) 7011(e)(1) 7011(e)(1)(A) 7011(e)(1)(B) 7011(e)(1)(C) 7011(e)(1)(D) 7011(e)(1)(E) 7011(e)(1)(F) 7011(e)(1)(G) 7011(e)(1)(H) 7011(e)(1)(I) 7011(e)(1)(J) 7011(e)(1)(K) 7011(e)(2) 7011(e)(2)(A) 7011(e)(2)(B) 7011(e)(2)(C) 7011(e)(2)(D) 7011(e)(2)(E) 7011(e)(2)(F) 7011(e)(3) 7011(e)(3)(A) 7011(e)(3)(B) 7011(e)(3)(C) 7011(e)(3)(D) 7011(e)(3)(E) 7011(e)(3)(F) 7011(e)(3)(G) 7011(e)(3)(H) 7011(e)(3)(I) 7011(e)(3)(J) 7011(e)(4) 7011(e)(5) 7012(a) 7012(b) 7012(c) 7012(c)(1) 7012(c)(2) 7012(c)(3) 7012(c)(4) 7012(c)(5) 7012(d) 7012(e)(1) 7012(e)(2) 7012(e)(3) 7012(e)(4) 7012(e)(5) 7012(e)(6) 7012(f) 7012(g) 7012(g)(1) 7012(g)(2) 7012(g)(3)(A) 7012(g)(3)(B) 7012(g)(3)(C) 7012(h) 7012(i) 7102(a)(1)(A) 7102(a)(1)(B) 7102(a)(1)(C) 7102(a)(1)(D) 7102(a)(1)(E) 7102(a)(1)(F) 7102(a)(2) 7102(b)

null

Principle 2.7.a

null

Article 14(1)(a) Article 14(1)(b) Article 14(1)(c) Article 14(1)(d) Article 14(1)(e) Article 14(1)(f) Article 14(2)(a) Article 14(2)(b) Article 14(2)(c) Article 14(2)(d) Article 14(2)(e) Article 14(2)(f) Article 14(2)(g) Article 14(3)(a) Article 14(3)(b) Article 14(3)(c) Article 18(3)

null

APP 1

null

Article 9 Article 48

null

x

null

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

null

R-AC-4

null

R-AM-2

R-AM-3

null

R-BC-2

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Data Protection Officer (DPO)

PRI-01.4

Mechanisms exist to appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data.

null

E-HRS-10

Does the organization appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data?

7

Identify

X

null

There is no evidence of a capability to appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data.

SP-CMM1 is N/A, since a structured process is required to appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • Administrative processes exist ensure the DPO is assigned based on the basis of professional qualities and is involved in all issues related to the protection of PD. • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • Administrative processes exist ensure the DPO is assigned based on the basis of professional qualities and is involved in all issues related to the protection of PD. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data.

null

8.5

5.10

null

GV.PO-P5 CT.PO-P2 CM.PO-P2

null

D.18

null

9.1

null

6-1-1308(1)(c)(I) 6-1-1308(1)(c)(II) 6-1-1308(6)

null

Art 35.2 Art 37.1 Art 37.2 Art 37.3 Art 37.4 Art 37.5 Art 37.6 Art 37.7 Art 38.1 Art 38.2 Art 38.3 Art 38.4 Art 38.5 Art 38.6 Art 39.1 Art 39.2

null

Principle 2.7.a

null

24(1) 24(1)(a) 24(1)(b) 24(1)(c) 24(2) 24(3) 24(4) 24(5) 24(6) 24(7)(a) 24(7)(b) 24(7)(c) 24(7)(d) 24(7)(e)

null

4.1(2) 4.1(3)

null

Article 8.2 Article 10

null

Article 44 Article 44.1 Article 44.2 Article 56 Article 56.1 Article 56.2 Article 56.3 Article 57 Article 58 Article 58.1 Article 58.2 Article 58.3 Article 58.4

null

Sec 17 Sec 55 Sec 56

null

Article 24(1) Article 24(2) Article 24(3) Article 37(1)(a) Article 37(1)(b) Article 37(1)(c) Article 37(2) Article 37(3) Article 37(4) Article 37(5) Article 37(6) Article 37(7) Article 38(1) Article 38(2) Article 38(3) Article 38(4) Article 38(5) Article 38(6) Article 39(1)(a) Article 39(1)(b) Article 39(1)(c) Article 39(1)(d) Article 39(1)(e) Article 39(2)

null

Article 9 Article 52 Article 53

null

Art 6.8 Art 6.10 Art 41

null

Sec 6

null

Art 12

null

x

null

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

R-AC-1

null

R-AC-4

null

R-AM-2

R-AM-3

null

R-BC-2

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

R-SA-1

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Binding Corporate Rules (BCR)

PRI-01.5

Mechanisms exist to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.

null

E-PRI-05

Does the organization implement and manage Binding Corporate Rules (BCR) (e?g?, data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data?

5

Identify

X

null

There is no evidence of a capability to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.

SP-CMM1 is N/A, since a structured process is required to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.

SP-CMM2 is N/A, since a well-defined process is required to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The organization implements and governs Binding Corporate Rules (BCR) to legally bind all parties engaged in a joint economic activity that expressly confers enforceable rights on data subjects with regard to the processing of PD.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.

null

P.1.6.2.4

null

Principle 3.10.a.i Principle 3.10.a.ii Principle 3.10.a.ii.1 Principle 3.10.a.ii.2 Principle 3.10.a.ii.3 Principle 3.10.a.iii Principle 3.10.b.i Principle 3.10.c.i

null

Article 15

null

Article 65 Article 65.x Article 66 Article 67 Article 67.x

null

Article 22(1)(a) Article 22(1)(b) Article 22(1)(c) Article 22(2)(a) Article 22(2)(b) Article 22(2)(c) Article 22(2)(d) Article 22(2)(e) Article 22(2)(f) Article 22(2)(g) Article 22(2)(h) Article 22(2)(i) Article 22(2)(j) Article 22(2)(k) Article 22(2)(l) Article 22(2)(m) Article 22(2)(n) Article 22(3)

null

Principle 12 P12-(1) P12-(1)(a) P12-(1)(b) P12-(1)(c) P12-(1)(d) P12-(1)(e) P12-(1)(f) P12-(2) P12-(3)

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

R-GV-3

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Security of Personal Data

PRI-01.6

Mechanisms exist to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.

null

Does the organization ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD?

7

Protect

X

null

There is no evidence of a capability to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.

SP-CMM1 is N/A, since a structured process is required to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.

SP-CMM2 is N/A, since a well-defined process is required to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.

null

P4.2-POF2

null

5.34

null

MAP 1.6

null

12.9.1

null

12.9.1

null

P.5.3

null

6-1-1305(2)(a) 6-1-1305(4) 6-1-1308(5)

Sec 15(e)(1) Sec 15(e)(2)

null

Sec 45(a) Sec 45(b) Sec 45(c) Sec 45(d)

null

Sec 4(2)(a) Sec 4(2)(b)(i) Sec 4(2)(b)(ii) Sec 4(2)(b)(ii)(A) Sec 4(2)(b)(ii)(A)(1) Sec 4(2)(b)(ii)(A)(2) Sec 4(2)(b)(ii)(A)(3) Sec 4(2)(b)(ii)(A)(4) Sec 4(2)(b)(ii)(A)(5) Sec 4(2)(b)(ii)(A)(6) Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(B)(3) Sec 4(2)(b)(ii)(B)(4) Sec 4(2)(b)(ii)(C)(1) Sec 4(2)(b)(ii)(C)(2) Sec 4(2)(b)(ii)(C)(3) Sec 4(2)(b)(ii)(C)(4) Sec 4(2)(c)

null

59.1-578.A.3

null

Principle 2.4.a

null

29(f) 41(1) 41(1)(a) 41(1)(b) 41(2) 41(3)(a) 41(3)(b) 41(3)(c) 41(3)(d) 41(3)(e) 41(4)(a) 41(4)(b) 41(4)(c) 41(4)(d) 41(4)(e) 41(4)(f) 42(1)(a) 42(1)(b) 42(1)(c) 42(1)(d) 42(2)(a) 42(2)(b) 42(3) 42(4)

null

2.1(1)(d) 2.6

null

Article 8.3 Article 13

null

Article 5.6 Article 41 Article 42 Article 42.1 Article 42.2 Article 50 Article 50.1 Article 50.2 Article 50.3 Article 50.4 Article 51 Article 51.1 Article 51.2 Article 51.3 Article 51.4 Article 51.5 Article 51.6 Article 51.7 Article 51.8 Article 51.9 Article 51.10

null

Article 9 Article 25 Article 28 Article 59

null

Article 20 Article 21

null

Principle 5 P5-(a) P5-(a)(i) P5-(a)(ii) P5-(a)(iii) P5-(b)

null

14.1.1 14.1.2 14.1.3 14.1.4 14.1.5 14.1.6 14.1.7

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

R-GV-4

null

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Limiting Personal Data Disclosures

PRI-01.7

Mechanisms exist to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.

null

Does the organization limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained?

7

Protect

null

X

null

There is no evidence of a capability to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.

SP-CMM1 is N/A, since a structured process is required to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.

SP-CMM2 is N/A, since a well-defined process is required to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies limit the disclosure of PD to authorized parties for purpose(s) in connection with obtaining the PD or directly related to the purpose(s) for which the PD was obtained.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.

null

P6.1-POF2 P6.1-POF3 P6.1-POF4 P6.4-POF1

null

P.5

null

2.A.4

null

Sec 15(d) Sec 15(d)(1) Sec 15(d)(2) Sec 15(d)(3) Sec 15(d)(4)

Sec 10(a)(1) Sec 10(a)(2) Sec 10(a)(3) Sec 10(a)(4) Sec 10(b)(1) Sec 10(c)(1) Sec 10(c)(2) Sec 10(c)(3) Sec 10(c)(4) Sec 10(c)(5) Sec 10(c)(6)

null

Article 33

null

Article 20 Article 21 Article 22 Article 25 Article 41

null

Principle 11 P11-(1) P11-(1)(a) P11-(1)(b) P11-(1)(c) P11-(1)(d) P11-(1)(e)(i) P11-(1)(e)(ii) P11-(1)(e)(iii) P11-(1)(e)(iv) P11-(1)(f)(i) P11-(1)(f)(ii) P11-(1)(g) P11-(1)(h)(i) P11-(1)(h)(ii) P11-(1)(i) P11-(2) Principle 12 P12-(1) P12-(1)(a) P12-(1)(b) P12-(1)(c) P12-(1)(d) P12-(1)(e) P12-(1)(f) P12-(2) P12-(3)

null

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

null

R-GV-4

null

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Data Privacy Notice

PRI-02

Mechanisms exist to: ▪ Make data privacy notice(s) available to individuals upon first interacting with an organization and subsequently as necessary; ▪ Ensure that data privacy notices are clear and easy-to-understand, expressing information about Personal Data (PD) processing in plain language that meet all legal obligations; and ▪ Define the scope of PD processing activities, including the geographic locations and third-party recipients that process the PD within the scope of the data privacy notice.

null

E-PRI-08

Does the organization: ▪ Make data privacy notice(s) available to individuals upon first interacting with an organization and subsequently as necessary; ▪ Ensure that data privacy notices are clear and easy-to-understand, expressing information about Personal Data (PD) processing in plain language that meet all legal obligations; and ▪ Define the scope of PD processing activities, including the geographic locations and third-party recipients that process the PD within the scope of the data privacy notice?

7

Identify

null

X

null

There is no evidence of a capability: ▪ Make data privacy notice(s) available to individuals up on first interacting with an organization and subsequently as necessary; ▪ Ensure that data privacy notices are clear and easy-to-understand, expressing information about Personal Data (PD) processing in plain language that meet all legal obligations; and ▪ Define the scope of PD processing activities, including the geographic locations and third-party recipients that process the PD within the scope of the data privacy notice.

Privacy (PRI) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity. • Formal roles and responsibilities for data privacy may exist. • No formal data privacy principles are identified for the organization. • An ad hoc approach to Data Protection Impact Assessment (DPIA) exists.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • The CPO, or similar role, develops and ensures data privacy notices are published that include relevant purpose, notice and data privacy program information. • Administrative processes and technologies present data subjects with a data privacy notice in plain language that describes how PD is collected, stored, processed, transmitted, shared and used by the organization.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The CPO, or similar role, develops and ensures data privacy notices are published that include relevant purpose, notice and data privacy program information. • Administrative processes and technologies present data subjects with a data privacy notice in plain language that describes how PD is collected, stored, processed, transmitted, shared and used by the organization.

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

Privacy (PRI) 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.

P1.1

CC2.3-POF7 P1.1-POF1 P1.1-POF2 P1.1-POF3 P1.1-POF4

null

DSP-14

null

2.1.1 2.2.1 2.2.2 2.2.3 3.1.0 3.1.1 3.1.2 4.1.0 4.1.1 4.2.4 5.1.0 5.1.1 6.1.0 7.1.0 7.1.1 8.1.0 8.1.1 9.1.0 9.1.1 10.1.0 10.1.1 10.2.3

null

5.34

null

A.2.1 A.2.2

7.3 7.3.1 7.3.2 8.2.2 8.2.3 8.5.1 8.5.2 8.5.6

5.2 5.8

null

CM.PO-P1 CM.AW-P1

null

TR-1 TR-2

null

PM-20(1) PT-5

null

P.6.1.1

null

9.2

null

COMM:SG1.SP1

null

TR-1 TR-2

6,502

null

§ 1232g

null

164.520 164.520(a) 164.520(a)(1) 164.520(a)(2) 164.520(a)(3) 164.520(b) 164.520(c) 164.520(d) 164.520(e) 164.530(i)(3)

null

Principle 1 Principle 3

null

7001(w) 7002(a)(1) 7002(a)(2) 7002(b) 7002(b)(1) 7002(b)(2) 7002(b)(3) 7002(b)(4) 7002(b)(5) 7002(c)(1) 7002(c)(2) 7002(c)(3) 7010(a) 7010(b) 7010(e) 7011(a) 7011(b) 7011(c) 7011(d) 7011(e)(1) 7011(e)(1)(A) 7011(e)(1)(B) 7011(e)(1)(C) 7011(e)(1)(D) 7011(e)(1)(E) 7011(e)(1)(F) 7011(e)(1)(G) 7011(e)(1)(H) 7011(e)(1)(I) 7011(e)(1)(J) 7011(e)(1)(K) 7011(e)(2) 7011(e)(2)(A) 7011(e)(2)(B) 7011(e)(2)(C) 7011(e)(2)(D) 7011(e)(2)(E) 7011(e)(2)(F) 7011(e)(3) 7011(e)(3)(A) 7011(e)(3)(B) 7011(e)(3)(C) 7011(e)(3)(D) 7011(e)(3)(E) 7011(e)(3)(F) 7011(e)(3)(G) 7011(e)(3)(H) 7011(e)(3)(I) 7011(e)(3)(J) 7011(e)(4) 7011(e)(5) 7012(a) 7012(b) 7012(c) 7012(c)(1) 7012(c)(2) 7012(c)(3) 7012(c)(4) 7012(c)(5) 7012(d) 7012(e)(1) 7012(e)(2) 7012(e)(3) 7012(e)(4) 7012(e)(5) 7012(e)(6) 7012(f) 7012(g) 7012(g)(1) 7012(g)(2) 7012(g)(3)(A) 7012(g)(3)(B) 7012(g)(3)(C) 7012(h) 7012(i)

null

6-1-1305(2) 6-1-1308(1)(a) 6-1-1308(1)(a)(I) 6-1-1308(1)(a)(II) 6-1-1308(1)(a)(II) 6-1-1308(1)(a)(IV) 6-1-1308(1)(a)(V) 6-1-1308(1)(b) 6-1-105(1)(nnn)

Sec 15(a)

null

59.1-578.C 59.1-578.C.1 59.1-578.C.2 59.1-578.C.3 59.1-578.C.4 59.1-578.C.5 59.1-578.D 59.1-578.E

null

Art 11.2 Art 12.1 Art 13.1 Art 13.2 Art 13.3 Art 14.1 Art 14.2 Art 14.3 Art 26.1 Art 26.2

null

Principle 2.1.a.i Principle 2.1.a.ii Principle 2.1.a.iii Principle 2.1.a.iv Principle 2.1.a.v Principle 2.1.a.vi Principle 2.1.a.vii Principle 2.1.a.viii Principle 2.1.a.ix Principle 2.1.a.x Principle 2.1.a.xi Principle 2.1.a.xii Principle 2.1.a.xii Principle 2.1.b

null

Art 9

Art 5 Art 11 Art 16

Art 6 Art 31

null

Sec 4 Sec 19

null

Sec 11 Sec 13 Sec 37

25(e) 26(a) 29(a) 29(b) 29(c) 29(d) 29(e) 29(f) 29(g) 29(h)

null

Sec 8 Sec 27

2.5 2.5(a) 2.5(b) 2.5(c) 2.5(d) 2.5(e) 2.5(f) 2.5(g) 2.5(h) 2.5(i) 3.1(1) 3.1(7)(a) 3.1(7)(b) 3.1(7)(c) 3.1(7)(d) 3.1(7)(e) 3.1(7)(f) 3.1(7)(g) 3.1(7)(h) 3.1(7)(i) 3.1(7)(j) 3.1(7)(k) 3.1(7)(l) 3.1(7)(m) 3.1(7)(n) 3.1(9) 3.1(9)(a) 3.1(9)(b) 3.1(9)(c) 3.1(9)(d) 3.1(9)(e)

Sec 31

Art 23

Art 5

Article 6.1 Article 8.1 Article 9.1 Article 9.3 Article 9.4 Article 10 Article 17.1 Article 17.2 Article 17.3 Article 17.4 Article 17.5

Art 22

null

Article 5.1 Article 6.1 Article 12.2 Article 12.3 Article 12.4 Article 12.5 Article 12.6

null

Sec 18

Art 8

null

Sec 26

null

Art 10

null

Chapter29-Schedule1-Part1-Principles 8

Article 13(1)(a) Article 13(1)(b) Article 13(1)(c) Article 13(1)(d) Article 13(1)(e) Article 13(1)(f) Article 13(2)(a) Article 13(2)(b) Article 13(2)(c) Article 13(2)(d) Article 13(2)(e) Article 13(2)(f)

null

APP Part 5

APP 1 APP 5

null

Article 7 Article 17 Article 17(1) Article 17(2) Article 17(3) Article 17(4) Article 27 Article 39 Article 48

null

Article 15(1) Article 15(2)

null

Sec 7

null

Principle 3 P3-(1) P3-(1)(a) P3-(1)(b) P3-(1)(c) P3-(1)(d) P3-(1)(d)(i) P3-(1)(d)(ii) P3-(1)(e) P3-(1)(e)(i) P3-(1)(e)(ii) P3-(1)(f) P3-(1)(g) P3-(2) P3-(3) P3-(4) P3-(4)(a) P3-(4)(b) P3-(4)(b)(i) P3-(4)(b)(ii) P3-(4)(b)(iii) P3-(4)(b)(iv) P3-(4)(c) P3-(4)(d) P3-(4)(e) P3-(4)(e)(i) P3-(4)(e)(ii)

null

Sec 14

null

Art 3 Art 4

Art 5

Art 6

null

Art 6.2 Art 6.6 Art 8

null

Principle 2

Art 5

Art 12

Art 5

Art 7 Art 16 Art 17 Art 18

Art 7

Art 5 Art 13

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Purpose Specification

PRI-02.1

Mechanisms exist to identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices.

null

Does the organization identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices?

7

Identify

null

X

null

There is no evidence of a capability to identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices.

SP-CMM1 is N/A, since a structured process is required to identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes exist identify and document the purpose(s) for which PD is collected, used, maintained and shared in its data privacy notices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes exist identify and document the purpose(s) for which PD is collected, used, maintained and shared in its data privacy notices.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices.

null

P1.1-POF1 P1.1-POF2 P1.1-POF3 P1.1-POF4 P6.7-POF1

null

DSP-12

null

4.2.1

null

18.1.4

5.34

18.1.4

null

7.2 7.2.1 8.2.2 8.5.1

5.3

null

CM.PO-P1

null

AP-2

null

PT-3

null

P.6.1.1

null

COMP:SG2.SP1

null

AP-2

null

§ 1232g

null

7002(a)(1) 7002(a)(2) 7002(b) 7002(b)(1) 7002(b)(2) 7002(b)(3) 7002(b)(4) 7002(b)(5) 7002(c)(1) 7002(c)(2) 7002(c)(3)

null

6-1-1308(1)(a) 6-1-1308(1)(a)(I) 6-1-1308(1)(a)(II) 6-1-1308(1)(a)(II) 6-1-1308(1)(a)(IV) 6-1-1308(1)(a)(V) 6-1-1308(1)(b) 6-1-1308(2) 6-1-105(1)(nnn)

Sec 15(b)(1) Sec 15(b)(2)

null

59.1-578.D 59.1-578.E

null

Art 13.1 Art 14.1 Art 14.2

null

Principle 2.1.a.i Principle 2.1.a.ii Principle 2.1.a.iii Principle 2.1.a.iv Principle 2.1.a.v Principle 2.1.a.vi Principle 2.1.a.vii Principle 2.1.a.viii Principle 2.1.a.ix Principle 2.1.a.x Principle 2.1.a.xi Principle 2.1.a.xii Principle 2.1.a.xii Principle 2.1.b

Sec 6

Art 4-7

Art 5

null

Art 7

null

Sec 2

null

Sec 8

Sec 13

29(c)

null

2.3(1)

Sec 32

Art 23

Art 5

Article 6.1 Article 8.1 Article 10

Art 5

null

Article 5.1 Article 6.1 Article 12.2 Article 12.3 Article 12.4 Article 12.5 Article 12.6

null

Sec 13 Sec 18

null

Sec 26

null

Art 10

null

Article 5(1)(c) Article 6(1)(a) Article 6(1)(b) Article 6(1)(c) Article 6(1)(d) Article 6(1)(e) Article 6(1)(f)

null

APP Part 3

APP 1

null

Article 6 Article 48

Principle 1

null

Article 15(1) Article 15(2)

18.1.4

null

Principle 3 P3-(1) P3-(1)(a) P3-(1)(b) P3-(1)(c) P3-(1)(d) P3-(1)(d)(i) P3-(1)(d)(ii) P3-(1)(e) P3-(1)(e)(i) P3-(1)(e)(ii) P3-(1)(f) P3-(1)(g) P3-(2) P3-(3) P3-(4) P3-(4)(a) P3-(4)(b) P3-(4)(b)(i) P3-(4)(b)(ii) P3-(4)(b)(iii) P3-(4)(b)(iv) P3-(4)(c) P3-(4)(d) P3-(4)(e) P3-(4)(e)(i) P3-(4)(e)(ii)

Sec 19

Sec 14 Sec 19 Sec 20

null

Art 3 Art 4

Art 5 Art 19

Art 6

Art 6 Art 27.1 Art 27.2 Art 28.1

Sec 6

null

Art 6.1 Art 6.3

null

Sec 5 Principle 2

Art 5

Art 4

null

Art 7 Art 16 Art 17 Art 18

Art 6

Art 5 Art 8

null

x

null

x

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Automated Data Management Processes

PRI-02.2

Automated mechanisms exist to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/or disclosed, based on updated data subject authorization(s).

The organization should identify and address obligations, including legal obligations, to the PD principals resulting from decisions made by the organization which are related to the PD principal based solely on automated processing of PD.

null

Does the organization use automated mechanisms to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/or disclosed, based on updated data subject authorization(s)?

1

Identify

null

X

There is no evidence of a capability to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/ or disclosed, based on updated data subject authorization(s).

SP-CMM1 is N/A, since a structured process is required to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/ or disclosed, based on updated data subject authorization(s).

SP-CMM2 is N/A, since a well-defined process is required to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/ or disclosed, based on updated data subject authorization(s).

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

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

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/ or disclosed, based on updated data subject authorization(s).

null

7.3.10

null

CT.DM-P7

null

PM-24 PT-2(2) PT-3(2)

PM-24

null

PT-2(2) PT-3(2)

null

P.1.6.4

null

Art 14.2 Art 22.1 Art 22.2 Art 22.3 Art 22.4

null

35(1) 35(2) 35(2)(a) 35(2)(b) 35(2)(c) 35(3) 35(3)(a) 35(3)(b)(i) 35(3)(b)(ii) 35(4)(a) 35(4)(b) 35(4)(c)(i) 35(4)(c)(ii)

null

Article 38 Article 38.1 Article 38.2 Article 38.3 Article 39

null

Sec 5 Sec 71

null

Article 22(1) Article 22(2)(a) Article 22(2)(b) Article 22(2)(c) Article 22(3) Article 22(4)

null

Article 24

null

Art 5

null

Art 7

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

null

Data Privacy

Computer Matching Agreements (CMA)

PRI-02.3

Mechanisms exist to publish Computer Matching Agreements (CMA) on the public website of the organization.

null

Does the organization publish Computer Matching Agreements (CMA) on the public website of the organization?

1

Identify

null

X

There is no evidence of a capability to publish Computer Matching Agreements (CMA) on the public website of the organization.

SP-CMM1 is N/A, since a structured process is required to publish Computer Matching Agreements (CMA) on the public website of the organization.

SP-CMM2 is N/A, since a well-defined process is required to publish Computer Matching Agreements (CMA) on the public website of the organization.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 publish Computer Matching Agreements (CMA) on the public website of the organization.

null

DI-2(1)

null

PM-24 PT-8

null

P.1.2.2

null

DI-2(1)

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

System of Records Notice (SORN)

PRI-02.4

Mechanisms exist to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.

null

Does the organization draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance?

1

Identify

null

X

There is no evidence of a capability to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.

SP-CMM1 is N/A, since a structured process is required to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes and technologies use a System of Records Notices (SORN), or similar record of processing activities, to maintain a record of processing PD under the organization's responsibility.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies use a System of Records Notices (SORN), or similar record of processing activities, to maintain a record of processing PD under the organization's responsibility.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.

null

TR-2(1)

null

PT-6

null

L.7.6

null

TR-2(1)

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

System of Records Notice (SORN) Review Process

PRI-02.5

Mechanisms exist to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.

null

Does the organization review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected?

1

Identify

null

X

null

There is no evidence of a capability to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.

SP-CMM1 is N/A, since a structured process is required to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.

null

PT-6(1)

null

L.7.7

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Privacy Act Exemptions

PRI-02.6

Mechanisms exist to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.

null

Does the organization review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate?

1

Identify

null

X

null

There is no evidence of a capability to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.

SP-CMM1 is N/A, since a structured process is required to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.

null

PT-6(2)

null

P.2.1.1

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Real-Time or Layered Notice

PRI-02.7

Mechanisms exist to provide real-time and/or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.

null

Does the organization provide real-time and/or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice?

2

Identify

null

X

There is no evidence of a capability to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.

SP-CMM1 is N/A, since a structured process is required to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.

SP-CMM2 is N/A, since a well-defined process is required to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.

See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.

null

TR-1(1)

null

TR-1(1)

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null

Data Privacy

Choice & Consent

PRI-03

Mechanisms exist to authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization.

- "opt in" vs "opt out" user selections

null

Does the organization authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization?

7

Identify

null

X

null

There is no evidence of a capability to authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization.

SP-CMM1 is N/A, since a structured process is required to authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization.

Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices.

Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.

Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted 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 authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization.

P2.0 P2.1 P3.2

P2.1-POF1 P2.1-POF2 P2.1-POF3 P2.1-POF6 P3.2-POF2

null

3.2.1 3.2.2 3.2.3 3.2.4

null

18.1.4

5.33

18.1.4

A.1.1

7.2.3 7.2.4 7.3.4 7.3.5 8.5.7

5.2

null

CT.PO-P1 CT.PO-P3

null

IP-1

null

PT-4

null

P.6.1.1

null

EF:SG1.SP2 KIM:SG2.SP1 OTA:SG1.SP2

null

IP-1

null

§ 1232g

null

Principle 2

null

7002(e) 7002(f) 7004(a) 7004(a)(1) 7004(a)(2) 7004(a)(2)(a) 7004(a)(2)(b) 7004(a)(2)(c) 7004(a)(3) 7004(a)(3)(a) 7004(a)(3)(b) 7004(a)(3)(c) 7004(a)(4) 7004(a)(4)(a) 7004(a)(4)(b) 7004(a)(5) 7004(a)(5)(a) 7004(a)(5)(b) 7004(a)(5)(c) 7004(b) 7004(c) 7010(c) 7028(a) 7028(b)

null

6-1-1306(1) 6-1-1306(1)(a)(I)(A) 6-1-1306(1)(a)(I)(B) 6-1-1306(1)(a)(I)(C) 6-1-1306(1)(a)(II) 6-1-1306(1)(a)(III) 6-1-1306(1)(a)(IV)(A) 6-1-1306(1)(a)(IV)(B) 6-1-1306(1)(a)(IV)(C)

Sec 15(b)(3)

null

59.1-577.A.5 59.1-577.A.5(i) 59.1-577.A.5(ii) 59.1-577.A.5(iii)

null

Art 8 Art 9

Art 6.1 Art 7.1 Art 7.2 Art 7.3 Art 7.4 Art 8.1 Art 8.2 Art 12.6 Art 14.3

null

Principle 2.2.a(i) Principle 2.2.a(ii) Principle 2.2.b Principle 2.2.c Principle 2.2.c(i) Principle 2.2.c(ii)

Sec 8

Art 4-7

Art 5

null

Art 7

Sec 4a Sec 11

null

Art 5

Sec 6

Sec 2

null

Sec 23 Sec 24

32(1) 32(4)

null

Sec 8

2.2(a) 2.3(2) 2.3(2)(a) 2.3(2)(b) 2.3(2)(c) 2.3(2)(d) 2.3(2)(e)

null

Art 23

Art 6

Article 4 Article 5.2 Article 10

Art 6 Art 9

null

Article 12.1 Article 15 Article 31 Article 31.1 Article 31.2 Article 31.3 Article 31.4

null

Sec 11

Art 8 Art 12

null

Sec 10

null

Art 10

Sec 9

null

Article 6(1)(a) Article 7(1) Article 7(2) Article 7(3) Article 7(4) Article 8(1) Article 8(2) Article 8(3)

null

APP Part 3

APP 3

null

Article 13(1) Article 14 Article 23 Article 27 Article 29 Article 30 Article 44

null

Sec 5

null

Article 16(1) Article 16(3)(i) Article 16(3)(ii) Article 16(3)(iii) Article 16(3)(iv) Article 24(1) Article 24(2)

18.1.4

Sec 7

null

Sec 19

Sec 13

null

Art 3 Art 4 Art 22

Art 5

Art 5.1 Art 5.2

null

Art 7.1 Art 15

null

Sec 6 Sec 7 Principle 3

Art 4

Art 5

Art 8 Art 10

Art 5 Art 13 Art 14

Art 5 Art 9 Art 13

null

x

null

x

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

null

R-AM-3

null

R-EX-1

R-EX-2

R-EX-3

R-EX-4

R-EX-5

null

R-GV-1

R-GV-2

null

R-GV-4

R-GV-5

R-GV-6

R-GV-7

null

R-IR-4

null

R-SA-2

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

null

NT-7

null

MT-1

MT-2

null

MT-7

MT-8

MT-9

null

MT-11

MT-12

MT-13

MT-14

MT-15

null