Framework for Improving 

Critical Infrastructure Cybersecurity

Version 1.0

National Institute of Standards and Technology

February 12, 2014
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Table of Contents

Executive Summary.........................................................................................................................1

1.0 Framework Introduction .........................................................................................................3

2.0 Framework Basics...................................................................................................................7

3.0 How to Use the Framework ..................................................................................................13

Appendix A: Framework Core.......................................................................................................18

Appendix B: Glossary....................................................................................................................37

Appendix C: Acronyms .................................................................................................................39

List of Figures

Figure 1: Framework Core Structure .............................................................................................. 7

Figure 2: Notional Information and Decision Flows within an Organization .............................. 12

List of Tables

Table 1: Function and Category Unique Identifiers ..................................................................... 19

Table 2: Framework Core ............................................................................................................. 20
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Executive Summary

The national and economic security of the United States depends on the reliable functioning of 

critical infrastructure. Cybersecurity threats exploit the increased complexity and connectivity of 

critical infrastructure systems, placing the Nation’s security, economy, and public safety and 

health at risk. Similar to financial and reputational risk, cybersecurity risk affects a company’s 

bottom line. It can drive up costs and impact revenue. It can harm an organization’s ability to 

innovate and to gain and maintain customers. 

To better address these risks, the President issued Executive Order 13636, “Improving Critical 

Infrastructure Cybersecurity,” on February 12, 2013, which established that “[i]t is the Policy of 

the United States to enhance the security and resilience of the Nation’s critical infrastructure and 

to maintain a cyber environment that encourages efficiency, innovation, and economic prosperity 

while promoting safety, security, business confidentiality, privacy, and civil liberties.” In 

enacting this policy, the Executive Order calls for the development of a voluntary risk-based 

Cybersecurity Framework – a set of industry standards and best practices to help organizations 

manage cybersecurity risks. The resulting Framework, created through collaboration between 

government and the private sector, uses a common language to address and manage 

cybersecurity risk in a cost-effective way based on business needs without placing additional 

regulatory requirements on businesses. 

The Framework focuses on using business drivers to guide cybersecurity activities and

considering cybersecurity risks as part of the organization’s risk management processes. The 

Framework consists of three parts: the Framework Core, the Framework Profile, and the 

Framework Implementation Tiers. The Framework Core is a set of cybersecurity activities, 

outcomes, and informative references that are common across critical infrastructure sectors, 

providing the detailed guidance for developing individual organizational Profiles. Through use of 

the Profiles, the Framework will help the organization align its cybersecurity activities with its 

business requirements, risk tolerances, and resources. The Tiers provide a mechanism for 

organizations to view and understand the characteristics of their approach to managing 

cybersecurity risk.

The Executive Order also requires that the Framework include a methodology to protect 

individual privacy and civil liberties when critical infrastructure organizations conduct 

cybersecurity activities. While processes and existing needs will differ, the Framework can assist 

organizations in incorporating privacy and civil liberties as part of a comprehensive 

cybersecurity program.

The Framework enables organizations – regardless of size, degree of cybersecurity risk, or 

cybersecurity sophistication – to apply the principles and best practices of risk management to 

improving the security and resilience of critical infrastructure. The Framework provides 

organization and structure to today’s multiple approaches to cybersecurity by assembling 

standards, guidelines, and practices that are working effectively in industry today. Moreover, 

because it references globally recognized standards for cybersecurity, the Framework can also be 
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used by organizations located outside the United States and can serve as a model for 

international cooperation on strengthening critical infrastructure cybersecurity.

The Framework is not a one-size-fits-all approach to managing cybersecurity risk for critical 

infrastructure. Organizations will continue to have unique risks – different threats, different 

vulnerabilities, different risk tolerances – and how they implement the practices in the 

Framework will vary. Organizations can determine activities that are important to critical service 

delivery and can prioritize investments to maximize the impact of each dollar spent. Ultimately, 

the Framework is aimed at reducing and better managing cybersecurity risks.

The Framework is a living document and will continue to be updated and improved as industry 

provides feedback on implementation. As the Framework is put into practice, lessons learned 

will be integrated into future versions. This will ensure it is meeting the needs of critical 

infrastructure owners and operators in a dynamic and challenging environment of new threats, 

risks, and solutions.

Use of this voluntary Framework is the next step to improve the cybersecurity of our Nation’s 

critical infrastructure – providing guidance for individual organizations, while increasing the 

cybersecurity posture of the Nation’s critical infrastructure as a whole.
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1.0 Framework Introduction

The national and economic security of the United States depends on the reliable functioning of 

critical infrastructure. To strengthen the resilience of this infrastructure, President Obama issued 

Executive Order 13636 (EO), “Improving Critical Infrastructure Cybersecurity,” on February 12, 

2013.

1 This Executive Order calls for the development of a voluntary Cybersecurity Framework 

(“Framework”) that provides a “prioritized, flexible, repeatable, performance-based, and costeffective approach” to manage cybersecurity risk for those processes, information, and systems 

directly involved in the delivery of critical infrastructure services. The Framework, developed in 

collaboration with industry, provides guidance to an organization on managing cybersecurity 

risk. 

Critical infrastructure is defined in the EO as “systems and assets, whether physical or virtual, so 

vital to the United States that the incapacity or destruction of such systems and assets would have 

a debilitating impact on security, national economic security, national public health or safety, or 

any combination of those matters.” Due to the increasing pressures from external and internal 

threats, organizations responsible for critical infrastructure need to have a consistent and iterative 

approach to identifying, assessing, and managing cybersecurity risk. This approach is necessary

regardless of an organization’s size, threat exposure, or cybersecurity sophistication today.

The critical infrastructure community includes public and private owners and operators, and 

other entities with a role in securing the Nation’s infrastructure. Members of each critical 

infrastructure sector perform functions that are supported by information technology (IT) and

industrial control systems (ICS).

2 This reliance on technology, communication, and the 

interconnectivity of IT and ICS has changed and expanded the potential vulnerabilities and 

increased potential risk to operations. For example, as ICS and the data produced in ICS 

operations are increasingly used to deliver critical services and support business decisions, the 

potential impacts of a cybersecurity incident on an organization’s business, assets, health and 

safety of individuals, and the environment should be considered. To manage cybersecurity risks, 

a clear understanding of the organization’s business drivers and security considerations specific 

to its use of IT and ICS is required. Because each organization’s risk is unique, along with its use 

of IT and ICS, the tools and methods used to achieve the outcomes described by the Framework 

will vary.

Recognizing the role that the protection of privacy and civil liberties plays in creating greater 

public trust, the Executive Order requires that the Framework include a methodology to protect 

individual privacy and civil liberties when critical infrastructure organizations conduct 

cybersecurity activities. Many organizations already have processes for addressing privacy and 

civil liberties. The methodology is designed to complement such processes and provide guidance 

to facilitate privacy risk management consistent with an organization’s approach to cybersecurity 

risk management. Integrating privacy and cybersecurity can benefit organizations by increasing

customer confidence, enabling more standardized sharing of information, and simplifying 

operations across legal regimes.

 1 Executive Order no. 13636, Improving Critical Infrastructure Cybersecurity, DCPD-201300091, February 12, 

2013. http://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03915.pdf 2 The DHS Critical Infrastructure program provides a listing of the sectors and their associated critical functions 

and value chains. http://www.dhs.gov/critical-infrastructure-sectors 
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To ensure extensibility and enable technical innovation, the Framework is technology neutral.

The Framework relies on a variety of existing standards, guidelines, and practices to enable 

critical infrastructure providers to achieve resilience. By relying on those global standards, 

guidelines, and practices developed, managed, and updated by industry, the tools and methods 

available to achieve the Framework outcomes will scale across borders, acknowledge the global 

nature of cybersecurity risks, and evolve with technological advances and business requirements. 

The use of existing and emerging standards will enable economies of scale and drive the 

development of effective products, services, and practices that meet identified market needs. 

Market competition also promotes faster diffusion of these technologies and practices and 

realization of many benefits by the stakeholders in these sectors.

Building from those standards, guidelines, and practices, the Framework provides a common 

taxonomy and mechanism for organizations to: 

1) Describe their current cybersecurity posture;

2) Describe their target state for cybersecurity;

3) Identify and prioritize opportunities for improvement within the context of a 

continuous and repeatable process;

4) Assess progress toward the target state;

5) Communicate among internal and external stakeholders about cybersecurity risk.

The Framework complements, and does not replace, an organization’s risk management process 

and cybersecurity program. The organization can use its current processes and leverage the 

Framework to identify opportunities to strengthen and communicate its management of 

cybersecurity risk while aligning with industry practices. Alternatively, an organization without 

an existing cybersecurity program can use the Framework as a reference to establish one. 

Just as the Framework is not industry-specific, the common taxonomy of standards, guidelines, 

and practices that it provides also is not country-specific. Organizations outside the United States 

may also use the Framework to strengthen their own cybersecurity efforts, and the Framework 

can contribute to developing a common language for international cooperation on critical 

infrastructure cybersecurity.

1.1 Overview of the Framework

The Framework is a risk-based approach to managing cybersecurity risk, and is composed of 

three parts: the Framework Core, the Framework Implementation Tiers, and the Framework 

Profiles. Each Framework component reinforces the connection between business drivers and 

cybersecurity activities. These components are explained below.

• The Framework Core is a set of cybersecurity activities, desired outcomes, and 

applicable references that are common across critical infrastructure sectors. The Core 

presents industry standards, guidelines, and practices in a manner that allows for 

communication of cybersecurity activities and outcomes across the organization from the 

executive level to the implementation/operations level. The Framework Core consists of 

five concurrent and continuous Functions—Identify, Protect, Detect, Respond, Recover. 

When considered together, these Functions provide a high-level, strategic view of the 

lifecycle of an organization’s management of cybersecurity risk. The Framework Core 
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then identifies underlying key Categories and Subcategories for each Function, and 

matches them with example Informative References such as existing standards, 

guidelines, and practices for each Subcategory.

• Framework Implementation Tiers (“Tiers”) provide context on how an organization

views cybersecurity risk and the processes in place to manage that risk. Tiers describe the 

degree to which an organization’s cybersecurity risk management practices exhibit the 

characteristics defined in the Framework (e.g., risk and threat aware, repeatable, and 

adaptive). The Tiers characterize an organization’s practices over a range, from Partial 

(Tier 1) to Adaptive (Tier 4). These Tiers reflect a progression from informal, reactive 

responses to approaches that are agile and risk-informed. During the Tier selection 

process, an organization should consider its current risk management practices, threat 

environment, legal and regulatory requirements, business/mission objectives, and 

organizational constraints.

• A Framework Profile (“Profile”) represents the outcomes based on business needs that an

organization has selected from the Framework Categories and Subcategories. The Profile 

can be characterized as the alignment of standards, guidelines, and practices to the 

Framework Core in a particular implementation scenario. Profiles can be used to identify 

opportunities for improving cybersecurity posture by comparing a “Current” Profile (the 

“as is” state) with a “Target” Profile (the “to be” state). To develop a Profile, an 

organization can review all of the Categories and Subcategories and, based on business 

drivers and a risk assessment, determine which are most important; they can add 

Categories and Subcategories as needed to address the organization’s risks. The Current 

Profile can then be used to support prioritization and measurement of progress toward the 

Target Profile, while factoring in other business needs including cost-effectiveness and 

innovation. Profiles can be used to conduct self-assessments and communicate within an 

organization or between organizations. 

1.2 Risk Management and the Cybersecurity Framework

Risk management is the ongoing process of identifying, assessing, and responding to risk. To 

manage risk, organizations should understand the likelihood that an event will occur and the 

resulting impact. With this information, organizations can determine the acceptable level of risk 

for delivery of services and can express this as their risk tolerance.

With an understanding of risk tolerance, organizations can prioritize cybersecurity activities, 

enabling organizations to make informed decisions about cybersecurity expenditures.

Implementation of risk management programs offers organizations the ability to quantify and 

communicate adjustments to their cybersecurity programs. Organizations may choose to handle 

risk in different ways, including mitigating the risk, transferring the risk, avoiding the risk, or 

accepting the risk, depending on the potential impact to the delivery of critical services.

The Framework uses risk management processes to enable organizations to inform and prioritize 

decisions regarding cybersecurity. It supports recurring risk assessments and validation of 

business drivers to help organizations select target states for cybersecurity activities that reflect 

desired outcomes. Thus, the Framework gives organizations the ability to dynamically select and 

direct improvement in cybersecurity risk management for the IT and ICS environments.
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The Framework is adaptive to provide a flexible and risk-based implementation that can be used 

with a broad array of cybersecurity risk management processes. Examples of cybersecurity risk 

management processes include International Organization for Standardization (ISO) 

31000:20093, ISO/IEC 27005:20114, National Institute of Standards and Technology (NIST)

Special Publication (SP) 800-395, and the Electricity Subsector Cybersecurity Risk Management 

Process (RMP) guideline6.

1.3 Document Overview

The remainder of this document contains the following sections and appendices:

• Section 2 describes the Framework components: the Framework Core, the Tiers, and the 

Profiles.

• Section 3 presents examples of how the Framework can be used.

• Appendix A presents the Framework Core in a tabular format: the Functions, Categories, 

Subcategories, and Informative References.

• Appendix B contains a glossary of selected terms.

• Appendix C lists acronyms used in this document.

 3 International Organization for Standardization, Risk management – Principles and guidelines, ISO 31000:2009, 

2009. http://www.iso.org/iso/home/standards/iso31000.htm 4 International Organization for Standardization/International Electrotechnical Commission, Information 

technology – Security techniques – Information security risk management, ISO/IEC 27005:2011, 2011. 

http://www.iso.org/iso/catalogue_detail?csnumber=56742 5 Joint Task Force Transformation Initiative, Managing Information Security Risk: Organization, Mission, and 

Information System View, NIST Special Publication 800-39, March 2011. 

http://csrc.nist.gov/publications/nistpubs/800-39/SP800-39-final.pdf 6 U.S. Department of Energy, Electricity Subsector Cybersecurity Risk Management Process, DOE/OE-0003, May 

2012. http://energy.gov/sites/prod/files/Cybersecurity%20Risk%20Management%20Process%20Guideline%20-

%20Final%20-%20May%202012.pdf
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2.0 Framework Basics

The Framework provides a common language for understanding, managing, and expressing

cybersecurity risk both internally and externally. It can be used to help identify and prioritize 

actions for reducing cybersecurity risk, and it is a tool for aligning policy, business, and 

technological approaches to managing that risk. It can be used to manage cybersecurity risk 

across entire organizations or it can be focused on the delivery of critical services within an 

organization. Different types of entities – including sector coordinating structures, associations, 

and organizations – can use the Framework for different purposes, including the creation of 

common Profiles.

2.1 Framework Core

The Framework Core provides a set of activities to achieve specific cybersecurity outcomes, and 

references examples of guidance to achieve those outcomes. The Core is not a checklist of 

actions to perform. It presents key cybersecurity outcomes identified by industry as helpful in 

managing cybersecurity risk. The Core comprises four elements: Functions, Categories, 

Subcategories, and Informative References, depicted in Figure 1:

Figure 1: Framework Core Structure

The Framework Core elements work together as follows:

• Functions organize basic cybersecurity activities at their highest level. These Functions 

are Identify, Protect, Detect, Respond, and Recover. They aid an organization in 

expressing its management of cybersecurity risk by organizing information, enabling risk 

management decisions, addressing threats, and improving by learning from previous 

activities. The Functions also align with existing methodologies for incident management

and help show the impact of investments in cybersecurity. For example, investments in 

planning and exercises support timely response and recovery actions, resulting in reduced 

impact to the delivery of services.

• Categories are the subdivisions of a Function into groups of cybersecurity outcomes

closely tied to programmatic needs and particular activities. Examples of Categories 

include “Asset Management,” “Access Control,” and “Detection Processes.” 
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• Subcategories further divide a Category into specific outcomes of technical and/or 

management activities. They provide a set of results that, while not exhaustive, help 

support achievement of the outcomes in each Category. Examples of Subcategories 

include “External information systems are catalogued,” “Data-at-rest is protected,” and 

“Notifications from detection systems are investigated.” 

• Informative References are specific sections of standards, guidelines, and practices 

common among critical infrastructure sectors that illustrate a method to achieve the 

outcomes associated with each Subcategory. The Informative References presented in the 

Framework Core are illustrative and not exhaustive. They are based upon cross-sector 

guidance most frequently referenced during the Framework development process.7

The five Framework Core Functions are defined below. These Functions are not intended to 

form a serial path, or lead to a static desired end state. Rather, the Functions can be performed 

concurrently and continuously to form an operational culture that addresses the dynamic 

cybersecurity risk. See Appendix A for the complete Framework Core listing.

• Identify – Develop the organizational understanding to manage cybersecurity risk to 

systems, assets, data, and capabilities. 

The activities in the Identify Function are foundational for effective use of the 

Framework. Understanding the business context, the resources that support critical 

functions, and the related cybersecurity risks enables an organization to focus and 

prioritize its efforts, consistent with its risk management strategy and business needs. 

Examples of outcome Categories within this Function include: Asset Management;

Business Environment; Governance; Risk Assessment; and Risk Management Strategy.

• Protect – Develop and implement the appropriate safeguards to ensure delivery of 

critical infrastructure services.

The Protect Function supports the ability to limit or contain the impact of a potential

cybersecurity event. Examples of outcome Categories within this Function include:

Access Control; Awareness and Training; Data Security; Information Protection 

Processes and Procedures; Maintenance; and Protective Technology.

• Detect – Develop and implement the appropriate activities to identify the occurrence of a 

cybersecurity event.

The Detect Function enables timely discovery of cybersecurity events. Examples of 

outcome Categories within this Function include: Anomalies and Events; Security 

Continuous Monitoring; and Detection Processes.

• Respond – Develop and implement the appropriate activities to take action regarding a 

detected cybersecurity event. 

 7 NIST developed a Compendium of informative references gathered from the Request for Information (RFI) 

input, Cybersecurity Framework workshops, and stakeholder engagement during the Framework development 

process. The Compendium includes standards, guidelines, and practices to assist with implementation. The 

Compendium is not intended to be an exhaustive list, but rather a starting point based on initial stakeholder 

input. The Compendium and other supporting material can be found at http://www.nist.gov/cyberframework/. 
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The Respond Function supports the ability to contain the impact of a potential

cybersecurity event. Examples of outcome Categories within this Function include:

Response Planning; Communications; Analysis; Mitigation; and Improvements.

• Recover – Develop and implement the appropriate activities to maintain plans for 

resilience and to restore any capabilities or services that were impaired due to a 

cybersecurity event.

The Recover Function supports timely recovery to normal operations to reduce the 

impact from a cybersecurity event. Examples of outcome Categories within this Function 

include: Recovery Planning; Improvements; and Communications.

2.2 Framework Implementation Tiers

The Framework Implementation Tiers (“Tiers”) provide context on how an organization views 

cybersecurity risk and the processes in place to manage that risk. The Tiers range from Partial 

(Tier 1) to Adaptive (Tier 4) and describe an increasing degree of rigor and sophistication in 

cybersecurity risk management practices and the extent to which cybersecurity risk management 

is informed by business needs and is integrated into an organization’s overall risk management 

practices. Risk management considerations include many aspects of cybersecurity, including the 

degree to which privacy and civil liberties considerations are integrated into an organization’s 

management of cybersecurity risk and potential risk responses.

The Tier selection process considers an organization’s current risk management practices, threat 

environment, legal and regulatory requirements, business/mission objectives, and organizational 

constraints. Organizations should determine the desired Tier, ensuring that the selected level 

meets the organizational goals, is feasible to implement, and reduces cybersecurity risk to critical 

assets and resources to levels acceptable to the organization. Organizations should consider 

leveraging external guidance obtained from Federal government departments and agencies, 

Information Sharing and Analysis Centers (ISACs), existing maturity models, or other sources to 

assist in determining their desired tier. 

While organizations identified as Tier 1 (Partial) are encouraged to consider moving toward Tier 

2 or greater, Tiers do not represent maturity levels. Progression to higher Tiers is encouraged 

when such a change would reduce cybersecurity risk and be cost effective. Successful 

implementation of the Framework is based upon achievement of the outcomes described in the 

organization’s Target Profile(s) and not upon Tier determination.
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The Tier definitions are as follows:

Tier 1: Partial

• Risk Management Process – Organizational cybersecurity risk management practices are 

not formalized, and risk is managed in an ad hoc and sometimes reactive manner. 

Prioritization of cybersecurity activities may not be directly informed by organizational 

risk objectives, the threat environment, or business/mission requirements. 

• Integrated Risk Management Program – There is limited awareness of cybersecurity risk 

at the organizational level and an organization-wide approach to managing cybersecurity 

risk has not been established. The organization implements cybersecurity risk 

management on an irregular, case-by-case basis due to varied experience or information 

gained from outside sources. The organization may not have processes that enable 

cybersecurity information to be shared within the organization.

• External Participation – An organization may not have the processes in place to 

participate in coordination or collaboration with other entities.

Tier 2: Risk Informed

• Risk Management Process – Risk management practices are approved by management 

but may not be established as organizational-wide policy. Prioritization of cybersecurity 

activities is directly informed by organizational risk objectives, the threat environment, or 

business/mission requirements.

• Integrated Risk Management Program – There is an awareness of cybersecurity risk at 

the organizational level but an organization-wide approach to managing cybersecurity 

risk has not been established. Risk-informed, management-approved processes and 

procedures are defined and implemented, and staff has adequate resources to perform 

their cybersecurity duties. Cybersecurity information is shared within the organization on 

an informal basis. 

• External Participation – The organization knows its role in the larger ecosystem, but has 

not formalized its capabilities to interact and share information externally.

Tier 3: Repeatable

• Risk Management Process – The organization’s risk management practices are formally 

approved and expressed as policy. Organizational cybersecurity practices are regularly 

updated based on the application of risk management processes to changes in 

business/mission requirements and a changing threat and technology landscape. 

• Integrated Risk Management Program – There is an organization-wide approach to 

manage cybersecurity risk. Risk-informed policies, processes, and procedures are 

defined, implemented as intended, and reviewed. Consistent methods are in place to 

respond effectively to changes in risk. Personnel possess the knowledge and skills to 

perform their appointed roles and responsibilities. 

• External Participation – The organization understands its dependencies and partners and 

receives information from these partners that enables collaboration and risk-based 

management decisions within the organization in response to events. 
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Tier 4: Adaptive

• Risk Management Process – The organization adapts its cybersecurity practices based on 

lessons learned and predictive indicators derived from previous and current cybersecurity 

activities. Through a process of continuous improvement incorporating advanced 

cybersecurity technologies and practices, the organization actively adapts to a changing 

cybersecurity landscape and responds to evolving and sophisticated threats in a timely 

manner.

• Integrated Risk Management Program – There is an organization-wide approach to 

managing cybersecurity risk that uses risk-informed policies, processes, and procedures 

to address potential cybersecurity events. Cybersecurity risk management is part of the 

organizational culture and evolves from an awareness of previous activities, information 

shared by other sources, and continuous awareness of activities on their systems and 

networks.

• External Participation – The organization manages risk and actively shares information 

with partners to ensure that accurate, current information is being distributed and 

consumed to improve cybersecurity before a cybersecurity event occurs.

2.3 Framework Profile

The Framework Profile (“Profile”) is the alignment of the Functions, Categories, and 

Subcategories with the business requirements, risk tolerance, and resources of the organization.

A Profile enables organizations to establish a roadmap for reducing cybersecurity risk that is well 

aligned with organizational and sector goals, considers legal/regulatory requirements and

industry best practices, and reflects risk management priorities. Given the complexity of many 

organizations, they may choose to have multiple profiles, aligned with particular components and 

recognizing their individual needs.

Framework Profiles can be used to describe the current state or the desired target state of specific 

cybersecurity activities. The Current Profile indicates the cybersecurity outcomes that are 

currently being achieved. The Target Profile indicates the outcomes needed to achieve the 

desired cybersecurity risk management goals. Profiles support business/mission requirements 

and aid in the communication of risk within and between organizations. This Framework 

document does not prescribe Profile templates, allowing for flexibility in implementation.

Comparison of Profiles (e.g., the Current Profile and Target Profile) may reveal gaps to be 

addressed to meet cybersecurity risk management objectives. An action plan to address these 

gaps can contribute to the roadmap described above. Prioritization of gap mitigation is driven by 

the organization’s business needs and risk management processes. This risk-based approach 

enables an organization to gauge resource estimates (e.g., staffing, funding) to achieve

cybersecurity goals in a cost-effective, prioritized manner.
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2.4 Coordination of Framework Implementation

Figure 2 describes a common flow of information and decisions at the following levels within an 

organization:

• Executive

• Business/Process

• Implementation/Operations

The executive level communicates the mission priorities, available resources, and overall risk 

tolerance to the business/process level. The business/process level uses the information as inputs 

into the risk management process, and then collaborates with the implementation/operations 

level to communicate business needs and create a Profile. The implementation/operations level 

communicates the Profile implementation progress to the business/process level. The 

business/process level uses this information to perform an impact assessment. Business/process 

level management reports the outcomes of that impact assessment to the executive level to 

inform the organization’s overall risk management process and to the implementation/operations

level for awareness of business impact. 

Figure 2: Notional Information and Decision Flows within an Organization
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3.0 How to Use the Framework

An organization can use the Framework as a key part of its systematic process for identifying, 

assessing, and managing cybersecurity risk. The Framework is not designed to replace existing 

processes; an organization can use its current process and overlay it onto the Framework to 

determine gaps in its current cybersecurity risk approach and develop a roadmap to 

improvement. Utilizing the Framework as a cybersecurity risk management tool, an organization 

can determine activities that are most important to critical service delivery and prioritize 

expenditures to maximize the impact of the investment.

The Framework is designed to complement existing business and cybersecurity operations. It can 

serve as the foundation for a new cybersecurity program or a mechanism for improving an 

existing program. The Framework provides a means of expressing cybersecurity requirements to 

business partners and customers and can help identify gaps in an organization’s cybersecurity 

practices. It also provides a general set of considerations and processes for considering privacy 

and civil liberties implications in the context of a cybersecurity program.

The following sections present different ways in which organizations can use the Framework.

3.1 Basic Review of Cybersecurity Practices

The Framework can be used to compare an organization’s current cybersecurity activities with 

those outlined in the Framework Core. Through the creation of a Current Profile, organizations 

can examine the extent to which they are achieving the outcomes described in the Core 

Categories and Subcategories, aligned with the five high-level Functions: Identify, Protect, 

Detect, Respond, and Recover. An organization may find that it is already achieving the desired 

outcomes, thus managing cybersecurity commensurate with the known risk. Conversely, an 

organization may determine that it has opportunities to (or needs to) improve. The organization 

can use that information to develop an action plan to strengthen existing cybersecurity practices 

and reduce cybersecurity risk. An organization may also find that it is overinvesting to achieve 

certain outcomes. The organization can use this information to reprioritize resources to 

strengthen other cybersecurity practices.

While they do not replace a risk management process, these five high-level Functions will 

provide a concise way for senior executives and others to distill the fundamental concepts of 

cybersecurity risk so that they can assess how identified risks are managed, and how their 

organization stacks up at a high level against existing cybersecurity standards, guidelines, and 

practices. The Framework can also help an organization answer fundamental questions, 

including “How are we doing?” Then they can move in a more informed way to strengthen their 

cybersecurity practices where and when deemed necessary.

3.2 Establishing or Improving a Cybersecurity Program

The following steps illustrate how an organization could use the Framework to create a new 

cybersecurity program or improve an existing program. These steps should be repeated as 

necessary to continuously improve cybersecurity.
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Step 1: Prioritize and Scope. The organization identifies its business/mission objectives and 

high-level organizational priorities. With this information, the organization makes strategic 

decisions regarding cybersecurity implementations and determines the scope of systems and 

assets that support the selected business line or process. The Framework can be adapted to 

support the different business lines or processes within an organization, which may have 

different business needs and associated risk tolerance.

Step 2: Orient. Once the scope of the cybersecurity program has been determined for the 

business line or process, the organization identifies related systems and assets, regulatory 

requirements, and overall risk approach. The organization then identifies threats to, and 

vulnerabilities of, those systems and assets.

Step 3: Create a Current Profile. The organization develops a Current Profile by indicating 

which Category and Subcategory outcomes from the Framework Core are currently being 

achieved.

Step 4: Conduct a Risk Assessment. This assessment could be guided by the organization’s 

overall risk management process or previous risk assessment activities. The organization 

analyzes the operational environment in order to discern the likelihood of a cybersecurity event 

and the impact that the event could have on the organization. It is important that organizations 

seek to incorporate emerging risks and threat and vulnerability data to facilitate a robust 

understanding of the likelihood and impact of cybersecurity events.

Step 5: Create a Target Profile. The organization creates a Target Profile that focuses on the 

assessment of the Framework Categories and Subcategories describing the organization’s desired 

cybersecurity outcomes. Organizations also may develop their own additional Categories and 

Subcategories to account for unique organizational risks. The organization may also consider 

influences and requirements of external stakeholders such as sector entities, customers, and 

business partners when creating a Target Profile.

Step 6: Determine, Analyze, and Prioritize Gaps. The organization compares the Current 

Profile and the Target Profile to determine gaps. Next it creates a prioritized action plan to 

address those gaps that draws upon mission drivers, a cost/benefit analysis, and understanding of 

risk to achieve the outcomes in the Target Profile. The organization then determines resources 

necessary to address the gaps. Using Profiles in this manner enables the organization to make 

informed decisions about cybersecurity activities, supports risk management, and enables the 

organization to perform cost-effective, targeted improvements.

Step 7: Implement Action Plan. The organization determines which actions to take in regards 

to the gaps, if any, identified in the previous step. It then monitors its current cybersecurity 

practices against the Target Profile. For further guidance, the Framework identifies example 

Informative References regarding the Categories and Subcategories, but organizations should 

determine which standards, guidelines, and practices, including those that are sector specific,

work best for their needs.

An organization may repeat the steps as needed to continuously assess and improve its

cybersecurity. For instance, organizations may find that more frequent repetition of the orient
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step improves the quality of risk assessments. Furthermore, organizations may monitor progress 

through iterative updates to the Current Profile, subsequently comparing the Current Profile to 

the Target Profile. Organizations may also utilize this process to align their cybersecurity 

program with their desired Framework Implementation Tier.

3.3 Communicating Cybersecurity Requirements with Stakeholders

The Framework provides a common language to communicate requirements among 

interdependent stakeholders responsible for the delivery of essential critical infrastructure 

services. Examples include:

• An organization may utilize a Target Profile to express cybersecurity risk management 

requirements to an external service provider (e.g., a cloud provider to which it is 

exporting data).

• An organization may express its cybersecurity state through a Current Profile to report 

results or to compare with acquisition requirements.

• A critical infrastructure owner/operator, having identified an external partner on whom 

that infrastructure depends, may use a Target Profile to convey required Categories and 

Subcategories.

• A critical infrastructure sector may establish a Target Profile that can be used among its 

constituents as an initial baseline Profile to build their tailored Target Profiles.

3.4 Identifying Opportunities for New or Revised Informative 

References

The Framework can be used to identify opportunities for new or revised standards, guidelines, or 

practices where additional Informative References would help organizations address emerging 

needs. An organization implementing a given Subcategory, or developing a new Subcategory,

might discover that there are few Informative References, if any, for a related activity. To 

address that need, the organization might collaborate with technology leaders and/or standards 

bodies to draft, develop, and coordinate standards, guidelines, or practices.

3.5 Methodology to Protect Privacy and Civil Liberties

This section describes a methodology as required by the Executive Order to address individual 

privacy and civil liberties implications that may result from cybersecurity operations. This 

methodology is intended to be a general set of considerations and processes since privacy and 

civil liberties implications may differ by sector or over time and organizations may address these 

considerations and processes with a range of technical implementations. Nonetheless, not all 

activities in a cybersecurity program may give rise to these considerations. Consistent with 

Section 3.4, technical privacy standards, guidelines, and additional best practices may need to be 

developed to support improved technical implementations.

Privacy and civil liberties implications may arise when personal information is used, collected, 

processed, maintained, or disclosed in connection with an organization’s cybersecurity activities. 

Some examples of activities that bear privacy or civil liberties considerations may include: 

cybersecurity activities that result in the over-collection or over-retention of personal 

information; disclosure or use of personal information unrelated to cybersecurity activities;

cybersecurity mitigation activities that result in denial of service or other similar potentially 
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adverse impacts, including activities such as some types of incident detection or monitoring that 

may impact freedom of expression or association.

The government and agents of the government have a direct responsibility to protect civil 

liberties arising from cybersecurity activities. As referenced in the methodology below, 

government or agents of the government that own or operate critical infrastructure should have a 

process in place to support compliance of cybersecurity activities with applicable privacy laws, 

regulations, and Constitutional requirements.

To address privacy implications, organizations may consider how, in circumstances where such 

measures are appropriate, their cybersecurity program might incorporate privacy principles such 

as: data minimization in the collection, disclosure, and retention of personal information material 

related to the cybersecurity incident; use limitations outside of cybersecurity activities on any 

information collected specifically for cybersecurity activities; transparency for certain 

cybersecurity activities; individual consent and redress for adverse impacts arising from use of 

personal information in cybersecurity activities; data quality, integrity, and security; and 

accountability and auditing.

As organizations assess the Framework Core in Appendix A, the following processes and 

activities may be considered as a means to address the above-referenced privacy and civil 

liberties implications: 

Governance of cybersecurity risk

• An organization’s assessment of cybersecurity risk and potential risk responses considers 

the privacy implications of its cybersecurity program

• Individuals with cybersecurity-related privacy responsibilities report to appropriate 

management and are appropriately trained

• Process is in place to support compliance of cybersecurity activities with applicable 

privacy laws, regulations, and Constitutional requirements

• Process is in place to assess implementation of the foregoing organizational measures and 

controls

Approaches to identifying and authorizing individuals to access organizational assets and 

systems

• Steps are taken to identify and address the privacy implications of access control 

measures to the extent that they involve collection, disclosure, or use of personal 

information

Awareness and training measures

• Applicable information from organizational privacy policies is included in cybersecurity 

workforce training and awareness activities

• Service providers that provide cybersecurity-related services for the organization are 

informed about the organization’s applicable privacy policies
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Anomalous activity detection and system and assets monitoring

• Process is in place to conduct a privacy review of an organization’s anomalous activity 

detection and cybersecurity monitoring 

Response activities, including information sharing or other mitigation efforts

• Process is in place to assess and address whether, when, how, and the extent to which 

personal information is shared outside the organization as part of cybersecurity 

information sharing activities

• Process is in place to conduct a privacy review of an organization’s cybersecurity 

mitigation efforts
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Appendix A: Framework Core

This appendix presents the Framework Core: a listing of Functions, Categories, Subcategories, 

and Informative References that describe specific cybersecurity activities that are common 

across all critical infrastructure sectors. The chosen presentation format for the Framework Core 

does not suggest a specific implementation order or imply a degree of importance of the 

Categories, Subcategories, and Informative References. The Framework Core presented in this 

appendix represents a common set of activities for managing cybersecurity risk. While the 

Framework is not exhaustive, it is extensible, allowing organizations, sectors, and other entities 

to use Subcategories and Informative References that are cost-effective and efficient and that 

enable them to manage their cybersecurity risk. Activities can be selected from the Framework 

Core during the Profile creation process and additional Categories, Subcategories, and 

Informative References may be added to the Profile. An organization’s risk management 

processes, legal/regulatory requirements, business/mission objectives, and organizational 

constraints guide the selection of these activities during Profile creation. Personal information is 

considered a component of data or assets referenced in the Categories when assessing security 

risks and protections.

While the intended outcomes identified in the Functions, Categories, and Subcategories are the 

same for IT and ICS, the operational environments and considerations for IT and ICS differ. ICS 

have a direct effect on the physical world, including potential risks to the health and safety of 

individuals, and impact on the environment. Additionally, ICS have unique performance and 

reliability requirements compared with IT, and the goals of safety and efficiency must be 

considered when implementing cybersecurity measures.

For ease of use, each component of the Framework Core is given a unique identifier. Functions 

and Categories each have a unique alphabetic identifier, as shown in Table 1. Subcategories 

within each Category are referenced numerically; the unique identifier for each Subcategory is 

included in Table 2.

Additional supporting material relating to the Framework can be found on the NIST website at

http://www.nist.gov/cyberframework/.
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Table 1: Function and Category Unique Identifiers

Function 

Unique 

Identifier

Function

Category 

Unique 

Identifier

Category

ID Identify

ID.AM Asset Management

ID.BE Business Environment

ID.GV Governance

ID.RA Risk Assessment

ID.RM Risk Management Strategy

PR Protect

PR.AC Access Control

PR.AT Awareness and Training

PR.DS Data Security

PR.IP Information Protection Processes and Procedures

PR.MA Maintenance

PR.PT Protective Technology

DE Detect

DE.AE Anomalies and Events

DE.CM Security Continuous Monitoring

DE.DP Detection Processes

RS Respond

RS.RP Response Planning

RS.CO Communications

RS.AN Analysis

RS.MI Mitigation

RS.IM Improvements

RC Recover

RC.RP Recovery Planning

RC.IM Improvements

RC.CO Communications
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Table 2: Framework Core

Function Category Subcategory Informative References

IDENTIFY

(ID)

Asset Management (ID.AM): 

The data, personnel, devices, 

systems, and facilities that enable 

the organization to achieve 

business purposes are identified 

and managed consistent with their 

relative importance to business 

objectives and the organization’s 

risk strategy.

ID.AM-1: Physical devices and systems 

within the organization are inventoried

• CCS CSC 1

• COBIT 5 BAI09.01, BAI09.02

• ISA 62443-2-1:2009 4.2.3.4

• ISA 62443-3-3:2013 SR 7.8

• ISO/IEC 27001:2013 A.8.1.1, A.8.1.2

• NIST SP 800-53 Rev. 4 CM-8

ID.AM-2: Software platforms and 

applications within the organization are 

inventoried

• CCS CSC 2

• COBIT 5 BAI09.01, BAI09.02, BAI09.05

• ISA 62443-2-1:2009 4.2.3.4

• ISA 62443-3-3:2013 SR 7.8

• ISO/IEC 27001:2013 A.8.1.1, A.8.1.2

• NIST SP 800-53 Rev. 4 CM-8

ID.AM-3: Organizational communication 

and data flows are mapped

• CCS CSC 1

• COBIT 5 DSS05.02

• ISA 62443-2-1:2009 4.2.3.4

• ISO/IEC 27001:2013 A.13.2.1

• NIST SP 800-53 Rev. 4 AC-4, CA-3, CA-9, 

PL-8

ID.AM-4: External information systems 

are catalogued

• COBIT 5 APO02.02

• ISO/IEC 27001:2013 A.11.2.6

• NIST SP 800-53 Rev. 4 AC-20, SA-9

ID.AM-5: Resources (e.g., hardware, 

devices, data, and software) are prioritized 

based on their classification, criticality, and 

business value

• COBIT 5 APO03.03, APO03.04, BAI09.02

• ISA 62443-2-1:2009 4.2.3.6

• ISO/IEC 27001:2013 A.8.2.1

• NIST SP 800-53 Rev. 4 CP-2, RA-2, SA-14

ID.AM-6: Cybersecurity roles and 

responsibilities for the entire workforce and 

third-party stakeholders (e.g., suppliers, 

customers, partners) are established

• COBIT 5 APO01.02, DSS06.03

• ISA 62443-2-1:2009 4.3.2.3.3

• ISO/IEC 27001:2013 A.6.1.1
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Function Category Subcategory Informative References

• NIST SP 800-53 Rev. 4 CP-2, PS-7, PM-11

Business Environment (ID.BE): 

The organization’s mission, 

objectives, stakeholders, and 

activities are understood and 

prioritized; this information is 

used to inform cybersecurity 

roles, responsibilities, and risk 

management decisions.

ID.BE-1: The organization’s role in the 

supply chain is identified and 

communicated

• COBIT 5 APO08.04, APO08.05, APO10.03, 

APO10.04, APO10.05

• ISO/IEC 27001:2013 A.15.1.3, A.15.2.1, 

A.15.2.2

• NIST SP 800-53 Rev. 4 CP-2, SA-12

ID.BE-2: The organization’s place in 

critical infrastructure and its industry sector 

is identified and communicated

• COBIT 5 APO02.06, APO03.01

• NIST SP 800-53 Rev. 4 PM-8

ID.BE-3: Priorities for organizational 

mission, objectives, and activities are 

established and communicated

• COBIT 5 APO02.01, APO02.06, APO03.01

• ISA 62443-2-1:2009 4.2.2.1, 4.2.3.6

• NIST SP 800-53 Rev. 4 PM-11, SA-14

ID.BE-4: Dependencies and critical 

functions for delivery of critical services 

are established

• ISO/IEC 27001:2013 A.11.2.2, A.11.2.3, 

A.12.1.3

• NIST SP 800-53 Rev. 4 CP-8, PE-9, PE-11, 

PM-8, SA-14

ID.BE-5: Resilience requirements to 

support delivery of critical services are 

established

• COBIT 5 DSS04.02

• ISO/IEC 27001:2013 A.11.1.4, A.17.1.1,

A.17.1.2, A.17.2.1

• NIST SP 800-53 Rev. 4 CP-2, CP-11, SA-14

Governance (ID.GV): The 

policies, procedures, and 

processes to manage and monitor 

the organization’s regulatory, 

legal, risk, environmental, and 

operational requirements are 

understood and inform the 

management of cybersecurity 

risk.

ID.GV-1: Organizational information 

security policy is established

• COBIT 5 APO01.03, EDM01.01, EDM01.02

• ISA 62443-2-1:2009 4.3.2.6

• ISO/IEC 27001:2013 A.5.1.1

• NIST SP 800-53 Rev. 4 -1 controls from all 

families 

ID.GV-2: Information security roles & 

responsibilities are coordinated and aligned 

with internal roles and external partners

• COBIT 5 APO13.12

• ISA 62443-2-1:2009 4.3.2.3.3

• ISO/IEC 27001:2013 A.6.1.1, A.7.2.1

• NIST SP 800-53 Rev. 4 PM-1, PS-7

ID.GV-3: Legal and regulatory 

requirements regarding cybersecurity, 

• COBIT 5 MEA03.01, MEA03.04

• ISA 62443-2-1:2009 4.4.3.7
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Function Category Subcategory Informative References

including privacy and civil liberties 

obligations, are understood and managed

• ISO/IEC 27001:2013 A.18.1

• NIST SP 800-53 Rev. 4 -1 controls from all 

families (except PM-1)

ID.GV-4: Governance and risk 

management processes address 

cybersecurity risks

• COBIT 5 DSS04.02

• ISA 62443-2-1:2009 4.2.3.1, 4.2.3.3, 4.2.3.8, 

4.2.3.9, 4.2.3.11, 4.3.2.4.3, 4.3.2.6.3

• NIST SP 800-53 Rev. 4 PM-9, PM-11

Risk Assessment (ID.RA): The 

organization understands the 

cybersecurity risk to 

organizational operations 

(including mission, functions, 

image, or reputation), 

organizational assets, and 

individuals.

ID.RA-1: Asset vulnerabilities are 

identified and documented

• CCS CSC 4

• COBIT 5 APO12.01, APO12.02, APO12.03, 

APO12.04

• ISA 62443-2-1:2009 4.2.3, 4.2.3.7, 4.2.3.9, 

4.2.3.12

• ISO/IEC 27001:2013 A.12.6.1, A.18.2.3

• NIST SP 800-53 Rev. 4 CA-2, CA-7, CA-8, 

RA-3, RA-5, SA-5, SA-11, SI-2, SI-4, SI-5

ID.RA-2: Threat and vulnerability 

information is received from information 

sharing forums and sources

• ISA 62443-2-1:2009 4.2.3, 4.2.3.9, 4.2.3.12

• ISO/IEC 27001:2013 A.6.1.4

• NIST SP 800-53 Rev. 4 PM-15, PM-16, SI-5

ID.RA-3: Threats, both internal and 

external, are identified and documented

• COBIT 5 APO12.01, APO12.02, APO12.03, 

APO12.04

• ISA 62443-2-1:2009 4.2.3, 4.2.3.9, 4.2.3.12

• NIST SP 800-53 Rev. 4 RA-3, SI-5, PM-12, 

PM-16

ID.RA-4: Potential business impacts and 

likelihoods are identified

• COBIT 5 DSS04.02

• ISA 62443-2-1:2009 4.2.3, 4.2.3.9, 4.2.3.12

• NIST SP 800-53 Rev. 4 RA-2, RA-3, PM-9, 

PM-11, SA-14

ID.RA-5: Threats, vulnerabilities, 

likelihoods, and impacts are used to 

determine risk

• COBIT 5 APO12.02

• ISO/IEC 27001:2013 A.12.6.1

• NIST SP 800-53 Rev. 4 RA-2, RA-3, PM-16

ID.RA-6: Risk responses are identified and • COBIT 5 APO12.05, APO13.02
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Function Category Subcategory Informative References

prioritized • NIST SP 800-53 Rev. 4 PM-4, PM-9

Risk Management Strategy

(ID.RM): The organization’s 

priorities, constraints, risk 

tolerances, and assumptions are 

established and used to support 

operational risk decisions.

ID.RM-1: Risk management processes are 

established, managed, and agreed to by 

organizational stakeholders

• COBIT 5 APO12.04, APO12.05, APO13.02, 

BAI02.03, BAI04.02

• ISA 62443-2-1:2009 4.3.4.2

• NIST SP 800-53 Rev. 4 PM-9

ID.RM-2: Organizational risk tolerance is 

determined and clearly expressed

• COBIT 5 APO12.06

• ISA 62443-2-1:2009 4.3.2.6.5

• NIST SP 800-53 Rev. 4 PM-9

ID.RM-3: The organization’s 

determination of risk tolerance is informed 

by its role in critical infrastructure and 

sector specific risk analysis

• NIST SP 800-53 Rev. 4 PM-8, PM-9, PM-11, 

SA-14

PROTECT (PR)

Access Control (PR.AC): Access 

to assets and associated facilities 

is limited to authorized users, 

processes, or devices, and to 

authorized activities and 

transactions.

PR.AC-1: Identities and credentials are 

managed for authorized devices and users

• CCS CSC 16

• COBIT 5 DSS05.04, DSS06.03

• ISA 62443-2-1:2009 4.3.3.5.1

• ISA 62443-3-3:2013 SR 1.1, SR 1.2, SR 1.3, 

SR 1.4, SR 1.5, SR 1.7, SR 1.8, SR 1.9

• ISO/IEC 27001:2013 A.9.2.1, A.9.2.2, A.9.2.4, 

A.9.3.1, A.9.4.2, A.9.4.3

• NIST SP 800-53 Rev. 4 AC-2, IA Family

PR.AC-2: Physical access to assets is 

managed and protected

• COBIT 5 DSS01.04, DSS05.05

• ISA 62443-2-1:2009 4.3.3.3.2, 4.3.3.3.8

• ISO/IEC 27001:2013 A.11.1.1, A.11.1.2, 

A.11.1.4, A.11.1.6, A.11.2.3 

• NIST SP 800-53 Rev. 4 PE-2, PE-3, PE-4, PE5, PE-6, PE-9

PR.AC-3: Remote access is managed

• COBIT 5 APO13.01, DSS01.04, DSS05.03

• ISA 62443-2-1:2009 4.3.3.6.6

• ISA 62443-3-3:2013 SR 1.13, SR 2.6

• ISO/IEC 27001:2013 A.6.2.2, A.13.1.1, 

A.13.2.1
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Function Category Subcategory Informative References

• NIST SP 800-53 Rev. 4 AC-17, AC-19, AC-20

PR.AC-4: Access permissions are 

managed, incorporating the principles of 

least privilege and separation of duties

• CCS CSC 12, 15

• ISA 62443-2-1:2009 4.3.3.7.3

• ISA 62443-3-3:2013 SR 2.1

• ISO/IEC 27001:2013 A.6.1.2, A.9.1.2, A.9.2.3, 

A.9.4.1, A.9.4.4

• NIST SP 800-53 Rev. 4 AC-2, AC-3, AC-5, 

AC-6, AC-16

PR.AC-5: Network integrity is protected, 

incorporating network segregation where 

appropriate

• ISA 62443-2-1:2009 4.3.3.4

• ISA 62443-3-3:2013 SR 3.1, SR 3.8

• ISO/IEC 27001:2013 A.13.1.1, A.13.1.3, 

A.13.2.1

• NIST SP 800-53 Rev. 4 AC-4, SC-7

Awareness and Training

(PR.AT): The organization’s 

personnel and partners are 

provided cybersecurity awareness 

education and are adequately 

trained to perform their 

information security-related 

duties and responsibilities 

consistent with related policies, 

procedures, and agreements.

PR.AT-1: All users are informed and 

trained 

• CCS CSC 9

• COBIT 5 APO07.03, BAI05.07

• ISA 62443-2-1:2009 4.3.2.4.2

• ISO/IEC 27001:2013 A.7.2.2

• NIST SP 800-53 Rev. 4 AT-2, PM-13

PR.AT-2: Privileged users understand 

roles & responsibilities 

• CCS CSC 9

• COBIT 5 APO07.02, DSS06.03

• ISA 62443-2-1:2009 4.3.2.4.2, 4.3.2.4.3

• ISO/IEC 27001:2013 A.6.1.1, A.7.2.2 

• NIST SP 800-53 Rev. 4 AT-3, PM-13

PR.AT-3: Third-party stakeholders (e.g., 

suppliers, customers, partners) understand 

roles & responsibilities 

• CCS CSC 9

• COBIT 5 APO07.03, APO10.04, APO10.05

• ISA 62443-2-1:2009 4.3.2.4.2

• ISO/IEC 27001:2013 A.6.1.1, A.7.2.2

• NIST SP 800-53 Rev. 4 PS-7, SA-9

PR.AT-4: Senior executives understand 

roles & responsibilities 

• CCS CSC 9

• COBIT 5 APO07.03
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Function Category Subcategory Informative References

• ISA 62443-2-1:2009 4.3.2.4.2

• ISO/IEC 27001:2013 A.6.1.1, A.7.2.2, 

• NIST SP 800-53 Rev. 4 AT-3, PM-13

PR.AT-5: Physical and information 

security personnel understand roles & 

responsibilities 

• CCS CSC 9

• COBIT 5 APO07.03

• ISA 62443-2-1:2009 4.3.2.4.2

• ISO/IEC 27001:2013 A.6.1.1, A.7.2.2, 

• NIST SP 800-53 Rev. 4 AT-3, PM-13

Data Security (PR.DS): 

Information and records (data) are 

managed consistent with the 

organization’s risk strategy to 

protect the confidentiality, 

integrity, and availability of 

information.

PR.DS-1: Data-at-rest is protected

• CCS CSC 17

• COBIT 5 APO01.06, BAI02.01, BAI06.01, 

DSS06.06

• ISA 62443-3-3:2013 SR 3.4, SR 4.1

• ISO/IEC 27001:2013 A.8.2.3

• NIST SP 800-53 Rev. 4 SC-28

PR.DS-2: Data-in-transit is protected

• CCS CSC 17

• COBIT 5 APO01.06, DSS06.06

• ISA 62443-3-3:2013 SR 3.1, SR 3.8, SR 4.1, 

SR 4.2

• ISO/IEC 27001:2013 A.8.2.3, A.13.1.1, 

A.13.2.1, A.13.2.3, A.14.1.2, A.14.1.3

• NIST SP 800-53 Rev. 4 SC-8

PR.DS-3: Assets are formally managed 

throughout removal, transfers, and 

disposition

• COBIT 5 BAI09.03

• ISA 62443-2-1:2009 4. 4.3.3.3.9, 4.3.4.4.1

• ISA 62443-3-3:2013 SR 4.2

• ISO/IEC 27001:2013 A.8.2.3, A.8.3.1, A.8.3.2, 

A.8.3.3, A.11.2.7

• NIST SP 800-53 Rev. 4 CM-8, MP-6, PE-16

PR.DS-4: Adequate capacity to ensure 

availability is maintained

• COBIT 5 APO13.01

• ISA 62443-3-3:2013 SR 7.1, SR 7.2

• ISO/IEC 27001:2013 A.12.3.1
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Function Category Subcategory Informative References

• NIST SP 800-53 Rev. 4 AU-4, CP-2, SC-5

PR.DS-5: Protections against data leaks 

are implemented

• CCS CSC 17

• COBIT 5 APO01.06

• ISA 62443-3-3:2013 SR 5.2

• ISO/IEC 27001:2013 A.6.1.2, A.7.1.1, A.7.1.2,

A.7.3.1, A.8.2.2, A.8.2.3, A.9.1.1, A.9.1.2, 

A.9.2.3, A.9.4.1, A.9.4.4, A.9.4.5, A.13.1.3, 

A.13.2.1, A.13.2.3, A.13.2.4, A.14.1.2, A.14.1.3

• NIST SP 800-53 Rev. 4 AC-4, AC-5, AC-6, 

PE-19, PS-3, PS-6, SC-7, SC-8, SC-13, SC-31, 

SI-4

PR.DS-6: Integrity checking mechanisms 

are used to verify software, firmware, and 

information integrity

• ISA 62443-3-3:2013 SR 3.1, SR 3.3, SR 3.4, 

SR 3.8

• ISO/IEC 27001:2013 A.12.2.1, A.12.5.1, 

A.14.1.2, A.14.1.3

• NIST SP 800-53 Rev. 4 SI-7

PR.DS-7: The development and testing 

environment(s) are separate from the 

production environment

• COBIT 5 BAI07.04

• ISO/IEC 27001:2013 A.12.1.4

• NIST SP 800-53 Rev. 4 CM-2

Information Protection 

Processes and Procedures

(PR.IP): Security policies (that 

address purpose, scope, roles, 

responsibilities, management 

commitment, and coordination 

among organizational entities), 

processes, and procedures are 

maintained and used to manage 

protection of information systems 

and assets.

PR.IP-1: A baseline configuration of 

information technology/industrial control

systems is created and maintained

• CCS CSC 3, 10

• COBIT 5 BAI10.01, BAI10.02, BAI10.03, 

BAI10.05

• ISA 62443-2-1:2009 4.3.4.3.2, 4.3.4.3.3

• ISA 62443-3-3:2013 SR 7.6

• ISO/IEC 27001:2013 A.12.1.2, A.12.5.1, 

A.12.6.2, A.14.2.2, A.14.2.3, A.14.2.4

• NIST SP 800-53 Rev. 4 CM-2, CM-3, CM-4, 

CM-5, CM-6, CM-7, CM-9, SA-10

PR.IP-2: A System Development Life 

Cycle to manage systems is implemented

• COBIT 5 APO13.01

• ISA 62443-2-1:2009 4.3.4.3.3

• ISO/IEC 27001:2013 A.6.1.5, A.14.1.1, 

A.14.2.1, A.14.2.5
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Function Category Subcategory Informative References

• NIST SP 800-53 Rev. 4 SA-3, SA-4, SA-8, SA10, SA-11, SA-12, SA-15, SA-17, PL-8

PR.IP-3: Configuration change control 

processes are in place

• COBIT 5 BAI06.01, BAI01.06

• ISA 62443-2-1:2009 4.3.4.3.2, 4.3.4.3.3

• ISA 62443-3-3:2013 SR 7.6

• ISO/IEC 27001:2013 A.12.1.2, A.12.5.1, 

A.12.6.2, A.14.2.2, A.14.2.3, A.14.2.4

• NIST SP 800-53 Rev. 4 CM-3, CM-4, SA-10

PR.IP-4: Backups of information are 

conducted, maintained, and tested 

periodically

• COBIT 5 APO13.01

• ISA 62443-2-1:2009 4.3.4.3.9

• ISA 62443-3-3:2013 SR 7.3, SR 7.4

• ISO/IEC 27001:2013 A.12.3.1,

A.17.1.2A.17.1.3, A.18.1.3

• NIST SP 800-53 Rev. 4 CP-4, CP-6, CP-9

PR.IP-5: Policy and regulations regarding 

the physical operating environment for 

organizational assets are met

• COBIT 5 DSS01.04, DSS05.05

• ISA 62443-2-1:2009 4.3.3.3.1 4.3.3.3.2, 

4.3.3.3.3, 4.3.3.3.5, 4.3.3.3.6

• ISO/IEC 27001:2013 A.11.1.4, A.11.2.1, 

A.11.2.2, A.11.2.3

• NIST SP 800-53 Rev. 4 PE-10, PE-12, PE-13, 

PE-14, PE-15, PE-18

PR.IP-6: Data is destroyed according to 

policy

• COBIT 5 BAI09.03

• ISA 62443-2-1:2009 4.3.4.4.4

• ISA 62443-3-3:2013 SR 4.2

• ISO/IEC 27001:2013 A.8.2.3, A.8.3.1, A.8.3.2, 

A.11.2.7

• NIST SP 800-53 Rev. 4 MP-6

PR.IP-7: Protection processes are 

continuously improved

• COBIT 5 APO11.06, DSS04.05

• ISA 62443-2-1:2009 4.4.3.1, 4.4.3.2, 4.4.3.3, 

4.4.3.4, 4.4.3.5, 4.4.3.6, 4.4.3.7, 4.4.3.8

• NIST SP 800-53 Rev. 4 CA-2, CA-7, CP-2, IR-
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Function Category Subcategory Informative References

8, PL-2, PM-6

PR.IP-8: Effectiveness of protection 

technologies is shared with appropriate 

parties

• ISO/IEC 27001:2013 A.16.1.6 

• NIST SP 800-53 Rev. 4 AC-21, CA-7, SI-4

PR.IP-9: Response plans (Incident 

Response and Business Continuity) and 

recovery plans (Incident Recovery and 

Disaster Recovery) are in place and 

managed

• COBIT 5 DSS04.03

• ISA 62443-2-1:2009 4.3.2.5.3, 4.3.4.5.1

• ISO/IEC 27001:2013 A.16.1.1, A.17.1.1, 

A.17.1.2

• NIST SP 800-53 Rev. 4 CP-2, IR-8

PR.IP-10: Response and recovery plans 

are tested

• ISA 62443-2-1:2009 4.3.2.5.7, 4.3.4.5.11

• ISA 62443-3-3:2013 SR 3.3

• ISO/IEC 27001:2013 A.17.1.3

• NIST SP 800-53 Rev.4 CP-4, IR-3, PM-14

PR.IP-11: Cybersecurity is included in 

human resources practices (e.g., 

deprovisioning, personnel screening)

• COBIT 5 APO07.01, APO07.02, APO07.03, 

APO07.04, APO07.05

• ISA 62443-2-1:2009 4.3.3.2.1, 4.3.3.2.2, 

4.3.3.2.3

• ISO/IEC 27001:2013 A.7.1.1, A.7.3.1, A.8.1.4 

• NIST SP 800-53 Rev. 4 PS Family

PR.IP-12: A vulnerability management

plan is developed and implemented

• ISO/IEC 27001:2013 A.12.6.1, A.18.2.2

• NIST SP 800-53 Rev. 4 RA-3, RA-5, SI-2

Maintenance (PR.MA):

Maintenance and repairs of 

industrial control and information 

system components is performed 

consistent with policies and 

procedures.

PR.MA-1: Maintenance and repair of 

organizational assets is performed and 

logged in a timely manner, with approved 

and controlled tools

• COBIT 5 BAI09.03

• ISA 62443-2-1:2009 4.3.3.3.7

• ISO/IEC 27001:2013 A.11.1.2, A.11.2.4, 

A.11.2.5

• NIST SP 800-53 Rev. 4 MA-2, MA-3, MA-5

PR.MA-2: Remote maintenance of 

organizational assets is approved, logged, 

and performed in a manner that prevents 

unauthorized access

• COBIT 5 DSS05.04

• ISA 62443-2-1:2009 4.3.3.6.5, 4.3.3.6.6, 

4.3.3.6.7, 4.4.4.6.8

• ISO/IEC 27001:2013 A.11.2.4, A.15.1.1, 

A.15.2.1
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Function Category Subcategory Informative References

• NIST SP 800-53 Rev. 4 MA-4

Protective Technology (PR.PT): 

Technical security solutions are 

managed to ensure the security 

and resilience of systems and 

assets, consistent with related 

policies, procedures, and 

agreements.

PR.PT-1: Audit/log records are 

determined, documented, implemented, 

and reviewed in accordance with policy

• CCS CSC 14

• COBIT 5 APO11.04

• ISA 62443-2-1:2009 4.3.3.3.9, 4.3.3.5.8, 

4.3.4.4.7, 4.4.2.1, 4.4.2.2, 4.4.2.4

• ISA 62443-3-3:2013 SR 2.8, SR 2.9, SR 2.10, 

SR 2.11, SR 2.12

• ISO/IEC 27001:2013 A.12.4.1, A.12.4.2, 

A.12.4.3, A.12.4.4, A.12.7.1

• NIST SP 800-53 Rev. 4 AU Family

PR.PT-2: Removable media is protected 

and its use restricted according to policy

• COBIT 5 DSS05.02, APO13.01

• ISA 62443-3-3:2013 SR 2.3

• ISO/IEC 27001:2013 A.8.2.2, A.8.2.3, A.8.3.1, 

A.8.3.3, A.11.2.9

• NIST SP 800-53 Rev. 4 MP-2, MP-4, MP-5, 

MP-7

PR.PT-3: Access to systems and assets is 

controlled, incorporating the principle of 

least functionality

• COBIT 5 DSS05.02

• ISA 62443-2-1:2009 4.3.3.5.1, 4.3.3.5.2, 

4.3.3.5.3, 4.3.3.5.4, 4.3.3.5.5, 4.3.3.5.6, 

4.3.3.5.7, 4.3.3.5.8, 4.3.3.6.1, 4.3.3.6.2, 

4.3.3.6.3, 4.3.3.6.4, 4.3.3.6.5, 4.3.3.6.6, 

4.3.3.6.7, 4.3.3.6.8, 4.3.3.6.9, 4.3.3.7.1, 

4.3.3.7.2, 4.3.3.7.3, 4.3.3.7.4

• ISA 62443-3-3:2013 SR 1.1, SR 1.2, SR 1.3, 

SR 1.4, SR 1.5, SR 1.6, SR 1.7, SR 1.8, SR 1.9, 

SR 1.10, SR 1.11, SR 1.12, SR 1.13, SR 2.1, SR 

2.2, SR 2.3, SR 2.4, SR 2.5, SR 2.6, SR 2.7

• ISO/IEC 27001:2013 A.9.1.2

• NIST SP 800-53 Rev. 4 AC-3, CM-7

PR.PT-4: Communications and control 

networks are protected

• CCS CSC 7

• COBIT 5 DSS05.02, APO13.01

• ISA 62443-3-3:2013 SR 3.1, SR 3.5, SR 3.8, 

SR 4.1, SR 4.3, SR 5.1, SR 5.2, SR 5.3, SR 7.1, 
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Function Category Subcategory Informative References

SR 7.6

• ISO/IEC 27001:2013 A.13.1.1, A.13.2.1

• NIST SP 800-53 Rev. 4 AC-4, AC-17, AC-18, 

CP-8, SC-7

DETECT (DE)

Anomalies and Events (DE.AE): 

Anomalous activity is detected in 

a timely manner and the potential 

impact of events is understood.

DE.AE-1: A baseline of network 

operations and expected data flows for 

users and systems is established and 

managed

• COBIT 5 DSS03.01

• ISA 62443-2-1:2009 4.4.3.3

• NIST SP 800-53 Rev. 4 AC-4, CA-3, CM-2, 

SI-4

DE.AE-2: Detected events are analyzed to 

understand attack targets and methods

• ISA 62443-2-1:2009 4.3.4.5.6, 4.3.4.5.7, 

4.3.4.5.8

• ISA 62443-3-3:2013 SR 2.8, SR 2.9, SR 2.10, 

SR 2.11, SR 2.12, SR 3.9, SR 6.1, SR 6.2

• ISO/IEC 27001:2013 A.16.1.1, A.16.1.4

• NIST SP 800-53 Rev. 4 AU-6, CA-7, IR-4, SI4

DE.AE-3: Event data are aggregated and 

correlated from multiple sources and 

sensors

• ISA 62443-3-3:2013 SR 6.1

• NIST SP 800-53 Rev. 4 AU-6, CA-7, IR-4, IR5, IR-8, SI-4

DE.AE-4: Impact of events is determined

• COBIT 5 APO12.06

• NIST SP 800-53 Rev. 4 CP-2, IR-4, RA-3, SI -

4

DE.AE-5: Incident alert thresholds are 

established

• COBIT 5 APO12.06

• ISA 62443-2-1:2009 4.2.3.10

• NIST SP 800-53 Rev. 4 IR-4, IR-5, IR-8

Security Continuous 

Monitoring (DE.CM): The 

information system and assets are 

monitored at discrete intervals to 

identify cybersecurity events and 

verify the effectiveness of 

protective measures.

DE.CM-1: The network is monitored to 

detect potential cybersecurity events

• CCS CSC 14, 16

• COBIT 5 DSS05.07

• ISA 62443-3-3:2013 SR 6.2

• NIST SP 800-53 Rev. 4 AC-2, AU-12, CA-7, 

CM-3, SC-5, SC-7, SI-4

DE.CM-2: The physical environment is • ISA 62443-2-1:2009 4.3.3.3.8
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Function Category Subcategory Informative References

monitored to detect potential cybersecurity 

events

• NIST SP 800-53 Rev. 4 CA-7, PE-3, PE-6, PE20

DE.CM-3: Personnel activity is monitored 

to detect potential cybersecurity events

• ISA 62443-3-3:2013 SR 6.2

• ISO/IEC 27001:2013 A.12.4.1

• NIST SP 800-53 Rev. 4 AC-2, AU-12, AU-13, 

CA-7, CM-10, CM-11

DE.CM-4: Malicious code is detected

• CCS CSC 5

• COBIT 5 DSS05.01

• ISA 62443-2-1:2009 4.3.4.3.8

• ISA 62443-3-3:2013 SR 3.2

• ISO/IEC 27001:2013 A.12.2.1

• NIST SP 800-53 Rev. 4 SI-3

DE.CM-5: Unauthorized mobile code is 

detected

• ISA 62443-3-3:2013 SR 2.4

• ISO/IEC 27001:2013 A.12.5.1

• NIST SP 800-53 Rev. 4 SC-18, SI-4. SC-44

DE.CM-6: External service provider 

activity is monitored to detect potential 

cybersecurity events

• COBIT 5 APO07.06

• ISO/IEC 27001:2013 A.14.2.7, A.15.2.1

• NIST SP 800-53 Rev. 4 CA-7, PS-7, SA-4, SA9, SI-4

DE.CM-7: Monitoring for unauthorized 

personnel, connections, devices, and 

software is performed

• NIST SP 800-53 Rev. 4 AU-12, CA-7, CM-3,

CM-8, PE-3, PE-6, PE-20, SI-4

DE.CM-8: Vulnerability scans are 

performed

• COBIT 5 BAI03.10

• ISA 62443-2-1:2009 4.2.3.1, 4.2.3.7

• ISO/IEC 27001:2013 A.12.6.1

• NIST SP 800-53 Rev. 4 RA-5

Detection Processes (DE.DP):

Detection processes and 

procedures are maintained and 

tested to ensure timely and 

DE.DP-1: Roles and responsibilities for 

detection are well defined to ensure 

accountability

• CCS CSC 5

• COBIT 5 DSS05.01

• ISA 62443-2-1:2009 4.4.3.1

• ISO/IEC 27001:2013 A.6.1.1
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Function Category Subcategory Informative References

adequate awareness of anomalous 

events.

• NIST SP 800-53 Rev. 4 CA-2, CA-7, PM-14

DE.DP-2: Detection activities comply with 

all applicable requirements

• ISA 62443-2-1:2009 4.4.3.2

• ISO/IEC 27001:2013 A.18.1.4

• NIST SP 800-53 Rev. 4 CA-2, CA-7, PM-14, 

SI-4

DE.DP-3: Detection processes are tested

• COBIT 5 APO13.02

• ISA 62443-2-1:2009 4.4.3.2

• ISA 62443-3-3:2013 SR 3.3

• ISO/IEC 27001:2013 A.14.2.8

• NIST SP 800-53 Rev. 4 CA-2, CA-7, PE-3, 

PM-14, SI-3, SI-4

DE.DP-4: Event detection information is 

communicated to appropriate parties

• COBIT 5 APO12.06

• ISA 62443-2-1:2009 4.3.4.5.9

• ISA 62443-3-3:2013 SR 6.1

• ISO/IEC 27001:2013 A.16.1.2

• NIST SP 800-53 Rev. 4 AU-6, CA-2, CA-7, 

RA-5, SI-4

DE.DP-5: Detection processes are 

continuously improved

• COBIT 5 APO11.06, DSS04.05

• ISA 62443-2-1:2009 4.4.3.4

• ISO/IEC 27001:2013 A.16.1.6

• NIST SP 800-53 Rev. 4, CA-2, CA-7, PL-2,

RA-5, SI-4, PM-14
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Function Category Subcategory Informative References

RESPOND (RS)

Response Planning (RS.RP):

Response processes and 

procedures are executed and 

maintained, to ensure timely 

response to detected cybersecurity 

events.

RS.RP-1: Response plan is executed 

during or after an event

• COBIT 5 BAI01.10

• CCS CSC 18

• ISA 62443-2-1:2009 4.3.4.5.1

• ISO/IEC 27001:2013 A.16.1.5

• NIST SP 800-53 Rev. 4 CP-2, CP-10, IR-4, IR8

Communications (RS.CO): 

Response activities are 

coordinated with internal and 

external stakeholders, as 

appropriate, to include external 

support from law enforcement 

agencies.

RS.CO-1: Personnel know their roles and 

order of operations when a response is 

needed

• ISA 62443-2-1:2009 4.3.4.5.2, 4.3.4.5.3, 

4.3.4.5.4

• ISO/IEC 27001:2013 A.6.1.1, A.16.1.1

• NIST SP 800-53 Rev. 4 CP-2, CP-3, IR-3, IR-8

RS.CO-2: Events are reported consistent 

with established criteria

• ISA 62443-2-1:2009 4.3.4.5.5

• ISO/IEC 27001:2013 A.6.1.3, A.16.1.2

• NIST SP 800-53 Rev. 4 AU-6, IR-6, IR-8

RS.CO-3: Information is shared consistent 

with response plans

• ISA 62443-2-1:2009 4.3.4.5.2

• ISO/IEC 27001:2013 A.16.1.2

• NIST SP 800-53 Rev. 4 CA-2, CA-7, CP-2, IR4, IR-8, PE-6, RA-5, SI-4

RS.CO-4: Coordination with stakeholders 

occurs consistent with response plans

• ISA 62443-2-1:2009 4.3.4.5.5

• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8

RS.CO-5: Voluntary information sharing 

occurs with external stakeholders to 

achieve broader cybersecurity situational 

awareness

• NIST SP 800-53 Rev. 4 PM-15, SI-5

Analysis (RS.AN): Analysis is 

conducted to ensure adequate 

response and support recovery 

activities.

RS.AN-1: Notifications from detection 

systems are investigated

• COBIT 5 DSS02.07

• ISA 62443-2-1:2009 4.3.4.5.6, 4.3.4.5.7, 

4.3.4.5.8

• ISA 62443-3-3:2013 SR 6.1

• ISO/IEC 27001:2013 A.12.4.1, A.12.4.3, 

A.16.1.5

• NIST SP 800-53 Rev. 4 AU-6, CA-7, IR-4, IR-
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Function Category Subcategory Informative References

5, PE-6, SI-4 

RS.AN-2: The impact of the incident is 

understood

• ISA 62443-2-1:2009 4.3.4.5.6, 4.3.4.5.7, 

4.3.4.5.8

• ISO/IEC 27001:2013 A.16.1.6

• NIST SP 800-53 Rev. 4 CP-2, IR-4

RS.AN-3: Forensics are performed

• ISA 62443-3-3:2013 SR 2.8, SR 2.9, SR 2.10, 

SR 2.11, SR 2.12, SR 3.9, SR 6.1

• ISO/IEC 27001:2013 A.16.1.7 

• NIST SP 800-53 Rev. 4 AU-7, IR-4

RS.AN-4: Incidents are categorized 

consistent with response plans

• ISA 62443-2-1:2009 4.3.4.5.6

• ISO/IEC 27001:2013 A.16.1.4

• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-5, IR-8

Mitigation (RS.MI): Activities 

are performed to prevent 

expansion of an event, mitigate its 

effects, and eradicate the incident.

RS.MI-1: Incidents are contained

• ISA 62443-2-1:2009 4.3.4.5.6

• ISA 62443-3-3:2013 SR 5.1, SR 5.2, SR 5.4

• ISO/IEC 27001:2013 A.16.1.5

• NIST SP 800-53 Rev. 4 IR-4

RS.MI-2: Incidents are mitigated

• ISA 62443-2-1:2009 4.3.4.5.6, 4.3.4.5.10

• ISO/IEC 27001:2013 A.12.2.1, A.16.1.5

• NIST SP 800-53 Rev. 4 IR-4

RS.MI-3: Newly identified vulnerabilities 

are mitigated or documented as accepted 

risks

• ISO/IEC 27001:2013 A.12.6.1

• NIST SP 800-53 Rev. 4 CA-7, RA-3, RA-5

Improvements (RS.IM): 

Organizational response activities 

are improved by incorporating 

lessons learned from current and 

previous detection/response 

activities.

RS.IM-1: Response plans incorporate 

lessons learned

• COBIT 5 BAI01.13

• ISA 62443-2-1:2009 4.3.4.5.10, 4.4.3.4

• ISO/IEC 27001:2013 A.16.1.6

• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8

RS.IM-2: Response strategies are updated • NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8

RECOVER (RC)

Recovery Planning (RC.RP): 

Recovery processes and 

procedures are executed and 

maintained to ensure timely 

RC.RP-1: Recovery plan is executed 

during or after an event

• CCS CSC 8

• COBIT 5 DSS02.05, DSS03.04

• ISO/IEC 27001:2013 A.16.1.5
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Function Category Subcategory Informative References

restoration of systems or assets 

affected by cybersecurity events.

• NIST SP 800-53 Rev. 4 CP-10, IR-4, IR-8

Improvements (RC.IM): 

Recovery planning and processes 

are improved by incorporating 

lessons learned into future 

activities.

RC.IM-1: Recovery plans incorporate 

lessons learned

• COBIT 5 BAI05.07

• ISA 62443-2-1:2009 4.4.3.4

• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8

RC.IM-2: Recovery strategies are updated • COBIT 5 BAI07.08

• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8

Communications (RC.CO): 

Restoration activities are 

coordinated with internal and 

external parties, such as 

coordinating centers, Internet 

Service Providers, owners of 

attacking systems, victims, other 

CSIRTs, and vendors.

RC.CO-1: Public relations are managed • COBIT 5 EDM03.02

RC.CO-2: Reputation after an event is 

repaired • COBIT 5 MEA03.02

RC.CO-3: Recovery activities are 

communicated to internal stakeholders and 

executive and management teams

• NIST SP 800-53 Rev. 4 CP-2, IR-4 

Information regarding Informative References described in Appendix A may be found at the following locations:

• Control Objectives for Information and Related Technology (COBIT): http://www.isaca.org/COBIT/Pages/default.aspx

• Council on CyberSecurity (CCS) Top 20 Critical Security Controls (CSC): http://www.counciloncybersecurity.org

• ANSI/ISA-62443-2-1 (99.02.01)-2009, Security for Industrial Automation and Control Systems: Establishing an Industrial 

Automation and Control Systems Security Program: 

http://www.isa.org/Template.cfm?Section=Standards8&Template=/Ecommerce/ProductDisplay.cfm&ProductID=10243

• ANSI/ISA-62443-3-3 (99.03.03)-2013, Security for Industrial Automation and Control Systems: System Security Requirements 

and Security Levels: 

http://www.isa.org/Template.cfm?Section=Standards2&template=/Ecommerce/ProductDisplay.cfm&ProductID=13420

• ISO/IEC 27001, Information technology -- Security techniques -- Information security management systems -- Requirements: 

http://www.iso.org/iso/home/store/catalogue_ics/catalogue_detail_ics.htm?csnumber=54534

• NIST SP 800-53 Rev. 4: NIST Special Publication 800-53 Revision 4, Security and Privacy Controls for Federal Information 

Systems and Organizations, April 2013 (including updates as of January 15, 2014). http://dx.doi.org/10.6028/NIST.SP.800-

53r4.
February 12, 2014 Cybersecurity Framework Version 1.0

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Mappings between the Framework Core Subcategories and the specified sections in the Informative References represent a general 

correspondence and are not intended to definitively determine whether the specified sections in the Informative References provide 

the desired Subcategory outcome.
February 12, 2014 Cybersecurity Framework Version 1.0

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Appendix B: Glossary

This appendix defines selected terms used in the publication. 

Category The subdivision of a Function into groups of cybersecurity outcomes, 

closely tied to programmatic needs and particular activities. Examples 

of Categories include “Asset Management,” “Access Control,” and 

“Detection Processes.”

Critical 

Infrastructure

Systems and assets, whether physical or virtual, so vital to the United 

States that the incapacity or destruction of such systems and assets 

would have a debilitating impact on cybersecurity, national economic 

security, national public health or safety, or any combination of those 

matters.

Cybersecurity The process of protecting information by preventing, detecting, and 

responding to attacks.

Cybersecurity 

Event

A cybersecurity change that may have an impact on organizational 

operations (including mission, capabilities, or reputation).

Detect (function) Develop and implement the appropriate activities to identify the 

occurrence of a cybersecurity event.

Framework A risk-based approach to reducing cybersecurity risk composed of 

three parts: the Framework Core, the Framework Profile, and the 

Framework Implementation Tiers. Also known as the “Cybersecurity 

Framework.”

Framework Core A set of cybersecurity activities and references that are common 

across critical infrastructure sectors and are organized around 

particular outcomes. The Framework Core comprises four types of 

elements: Functions, Categories, Subcategories, and Informative 

References.

Framework 

Implementation 

Tier

A lens through which to view the characteristics of an organization’s 

approach to risk—how an organization views cybersecurity risk and 

the processes in place to manage that risk.

Framework 

Profile

A representation of the outcomes that a particular system or 

organization has selected from the Framework Categories and 

Subcategories.

Function One of the main components of the Framework. Functions provide the 

highest level of structure for organizing basic cybersecurity activities 

into Categories and Subcategories. The five functions are Identify, 
February 12, 2014 Cybersecurity Framework Version 1.0

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Protect, Detect, Respond, and Recover.

Identify (function) Develop the organizational understanding to manage cybersecurity 

risk to systems, assets, data, and capabilities.

Informative 

Reference

A specific section of standards, guidelines, and practices common 

among critical infrastructure sectors that illustrates a method to 

achieve the outcomes associated with each Subcategory.

Mobile Code A program (e.g., script, macro, or other portable instruction) that can 

be shipped unchanged to a heterogeneous collection of platforms and 

executed with identical semantics.

Protect (function) Develop and implement the appropriate safeguards to ensure delivery 

of critical infrastructure services.

Privileged User A user that is authorized (and, therefore, trusted) to perform securityrelevant functions that ordinary users are not authorized to perform.

Recover (function) Develop and implement the appropriate activities to maintain plans for 

resilience and to restore any capabilities or services that were impaired 

due to a cybersecurity event.

Respond 

(function)

Develop and implement the appropriate activities to take action 

regarding a detected cybersecurity event.

Risk A measure of the extent to which an entity is threatened by a potential 

circumstance or event, and typically a function of: (i) the adverse 

impacts that would arise if the circumstance or event occurs; and (ii) 

the likelihood of occurrence.

Risk Management The process of identifying, assessing, and responding to risk.

Subcategory The subdivision of a Category into specific outcomes of technical 

and/or management activities. Examples of Subcategories include 

“External information systems are catalogued,” “Data-at-rest is 

protected,” and “Notifications from detection systems are 

investigated.”
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Appendix C: Acronyms

This appendix defines selected acronyms used in the publication.

CCS Council on CyberSecurity

COBIT Control Objectives for Information and Related Technology

DCS Distributed Control System

DHS Department of Homeland Security

EO Executive Order

ICS Industrial Control Systems

IEC International Electrotechnical Commission

IR Interagency Report

ISA International Society of Automation

ISAC Information Sharing and Analysis Center

ISO International Organization for Standardization

IT Information Technology

NIST National Institute of Standards and Technology

RFI Request for Information

RMP Risk Management Process

SCADA Supervisory Control and Data Acquisition

SP Special Publication