Spreadsheet: 705526d1606165544-2-part-complex-formula-for-matching-multiple-results-test-example-of-cis-_-cjis-_-nist
Sheet: Working CIS -> NIST 800-53 -> C

CIS Control | CIS Sub-Control | Asset Type | Security Function | Title | Description | Relationship | NIST Control Num | Control Name | NIST Control Description | CJIS Security Policy (CSP) v5.6 Area
1 |  |  |  | Inventory and Control of Hardware Assets
 |  |  |  | Actively manage (inventory, track, and correct) all hardware devices on the network so that only authorized devices are given access, and unauthorized and unmanaged devices are found and prevented from gaining access.
1 | 1.1 | Devices | Identify | Utilize an Active Discovery Tool | Utilize an active discovery tool to identify devices connected to the organization's network and update the hardware asset inventory. | small subset | SI-4 | Information System Monitoring | b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods] | 5.10.1.3
1 | 1.2 | Devices | Identify | Use a Passive Asset Discovery Tool | Utilize a passive discovery tool to identify devices connected to the organization's network and automatically update the organization's hardware asset inventory. | small subset | SI-4 | Information System Monitoring | b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods] | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
1 | 1.3 | Devices | Identify | Use DHCP Logging to Update Asset Inventory | Use Dynamic Host Configuration Protocol (DHCP) logging on all DHCP servers or IP address management tools to update the organization's hardware asset inventory. | small subset | SI-4 | Information System Monitoring | b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods] | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
1 | 1.4 | Devices | Identify | Maintain Detailed Asset Inventory | Maintain an accurate and up-to-date inventory of all technology assets with the potential to store or process information. This inventory shall include all hardware assets, whether connected to the organization's network or not. | large subset | CM-8 | Information System Component Inventory | Develops and documents an inventory of information system components that: 1. Accurately reflects the current information system  2. Includes all components within the authorization boundary of the information system  3. Is at the level of granularity deemed necessary for tracking and reporting  and 4. Includes [Assignment: organization-defined information deemed necessary to achieve effective information system component accountability]  and | 5.7.1.1, 5.7.2
1 | 1.5 |  |  | Maintain Asset Inventory Information | Ensure that the hardware asset inventory records the network address, hardware address, machine name, data asset owner, and department for each asset and whether the hardware asset has been approved to connect to the network. | large subset | CM-8 | Information System Component Inventory | [NAME] and updates the information system component inventory [Assignment: organization-defined frequency] | 5.7.1.1, 5.7.2
 |  | Devices | Identify |  |  | large superset | IA-4 | Identifier Management | [NAME] an identifier that identifies an individual, group, role, or device  c. Assigning the identifier to the intended individual, group, role, or device | 5.6.3, 5.6.3.1
1 | 1.6 | Devices | Respond | Address Unauthorized Assets | Ensure that unauthorized assets are either removed from the network, quarantined or the inventory is updated in a timely manner. | small subset
1 | 1.7 | Devices | Protect | Deploy Port Level Access Control | Utilize port level access control, following 802.1x standards, to control which devices can authenticate to the network. The authentication system shall be tied into the hardware asset inventory data to ensure only authorized devices can connect to the network. | small subset
1 | 1.8 | Devices | Protect | Utilize Client Certificates to Authenticate Hardware Assets | Use client certificates to authenticate hardware assets connecting to the organization's trusted network. | small subset
1 | 1.8 | Devices | Protect | Utilize Client Certificates to Authenticate Hardware Assets | Use client certificates to authenticate hardware assets connecting to the organization's trusted network. | small subset
2 |  |  |  | Inventory and Control of Software Assets
 |  |  |  | Actively manage (inventory, track, and correct) all software on the network so that only authorized software is installed and can execute, and that unauthorized and unmanaged software is found and prevented from installation or execution.
2 | 2.1 | Applications | Identify | Maintain Inventory of Authorized Software | Maintain an up-to-date list of all authorized software that is required in the enterprise for any business purpose on any business system. | large subset | CM-8 | Information System Component Inventory | [NAME] and updates the information system component inventory [Assignment: organization-defined frequency] | 5.7.1.1, 5.7.2
 |  |  |  |  |  | large subset | CM-11 | User-Installed Software | a. Establishes [Assignment: organization-defined policies] governing the installation of software by users  b. Enforces software installation policies through [Assignment: organization-defined methods] | 5.7.1.1
2 | 2.2 | Applications | Identify | Ensure Software is Supported by Vendor | Ensure that only software applications or operating systems currently supported by the software's vendor are added to the organization's authorized software inventory. Unsupported software should be tagged as unsupported in the inventory system.
2 | 2.3 | Applications | Identify | Utilize Software Inventory Tools | Utilize software inventory tools throughout the organization to automate the documentation of all software on business systems.
2 | 2.4 | Applications | Identify | Track Software Inventory Information | The software inventory system should track the name, version, publisher, and install date for all software, including operating systems authorized by the organization. | large superset | IA-4 | Identifier Management | [NAME] an identifier that identifies an individual, group, role, or device  c. Assigning the identifier to the intended individual, group, role, or device | 5.6.3, 5.6.3.1
2 | 2.5 | Applications | Identify | Integrate Software and Hardware Asset Inventories | The software inventory system should be tied into the hardware asset inventory so all devices and associated software are tracked from a single location.
2 | 2.6 | Applications | Respond | Address unapproved software | Ensure that unauthorized software is either removed or the inventory is updated in a timely manner | small subset | CM-11 | User-Installed Software | b. Enforces software installation policies through [Assignment: organization-defined methods]  c. Monitors policy compliance at [Assignment: organization-defined frequency] | 5.7.1.1
2 | 2.7 | Applications | Protect | Utilize Application Whitelisting | Utilize application whitelisting technology on all assets to ensure that only authorized software executes and all unauthorized software is blocked from executing on assets.
2 | 2.8 | Applications | Protect | Implement Application Whitelisting of Libraries | The organization's application whitelisting software must ensure that only authorized software libraries (such as *.dll, *.ocx, *.so, etc.) are allowed to load into a system process.
2 | 2.9 | Applications | Protect | Implement Application Whitelisting of Scripts | The organization's application whitelisting software must ensure that only authorized, digitally signed scripts (such as *.ps1,   *.py, macros, etc.) are allowed to run on a system.
2 | 2.10 | Applications | Protect | Physically or Logically Segregate High Risk Applications | Physically or logically segregated systems should be used to isolate and run software that is required for business operations but incur higher risk for the organization.
3 |  |  |  | Continuous Vulnerability Management
 |  |  |  | Continuously acquire, assess, and take action on new information in order to identify vulnerabilities, remediate, and minimize the window of opportunity for attackers.
3 | 3.1 | Applications | Detect | Run Automated Vulnerability Scanning Tools | Utilize an up-to-date SCAP-compliant vulnerability scanning tool to automatically scan all systems on the network on a weekly or more frequent basis to identify all potential vulnerabilities on the organization's systems. | large subset | RA-5 | Vulnerability Scanning | [NAME] vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards | 5.5.2.1, 5.5.2.2, 5.5.2.3, 5.5.2.4, 5.10.4.1, 5.13.4.1
3 | 3.2 | Applications | Detect | Perform Authenticated Vulnerability Scanning | Perform authenticated vulnerability scanning with agents running locally on each system or with remote scanners that are configured with elevated rights on the system being tested.
3 | 3.3 | Users | Protect | Protect Dedicated Assessment Accounts | Use a dedicated account for authenticated vulnerability scans, which should not be used for any other administrative activities and should be tied to specific machines at specific IP addresses.
3 | 3.4 | Applications | Protect | Deploy Automated Operating System Patch Management Tools | Deploy automated software update tools in order to ensure that the operating systems are running the most recent security updates provided by the software vendor.
3 | 3.5 | Applications | Protect | Deploy Automated Software Patch Management Tools | Deploy automated software update tools in order to ensure that third-party software on all systems is running the most recent security updates provided by the software vendor.
3 | 3.6 | Applications | Respond | Compare Back-to-back Vulnerability Scans | Regularly compare the results from back-to-back vulnerability scans to verify that vulnerabilities have been remediated in a timely manner.
3 | 3.7 | Applications | Respond | Utilize a Risk-rating Process | Utilize a risk-rating process to prioritize the remediation of discovered vulnerabilities. | small subset | RA-5 | Vulnerability Scanning | d. Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk | 5.5.2.1, 5.5.2.2, 5.5.2.3, 5.5.2.4, 5.10.4.1, 5.13.4.1
4 |  |  |  | Controlled Use of Administrative Privileges
 |  |  |  | The processes and tools used to track/control/prevent/correct the use, assignment, and configuration of administrative privileges on computers, networks, and applications.
4 | 4.1 | Users | Detect | Maintain Inventory of Administrative Accounts | Use automated tools to inventory all administrative accounts, including domain and local accounts, to ensure that only authorized individuals have elevated privileges.
4 | 4.2 | Users | Protect | Change Default Passwords | Before deploying any new asset, change all default passwords to have values consistent with administrative level accounts. | small subset | IA-5 | Authenticator Management | e. Changing default content of authenticators prior to information system installation | 5.5.3, 5.6.2.1, 5.6.2.1.1, 5.6.2.1.2, 5.6.2.1.3, 5.6.2.2, 5.6.2.2.1, 5.6.2.2.2, 5.6.3, 5.6.3.1, 5.6.3.2, 5.6.4, 5.7, 5.7.1, 5.10.1, 5.10.1.2.3
4 | 4.3 | Users | Protect | Ensure the Use of Dedicated Administrative Accounts | Ensure that all users with administrative account access use a dedicated or secondary account for elevated activities. This account should only be used for administrative activities and not internet browsing, email, or similar activities.
4 | 4.4 | Users | Protect | Use Unique Passwords | Where multi-factor authentication is not supported (such as local administrator, root, or service accounts), accounts will use passwords that are unique to that system. | small superset | IA-5 (1) | Authenticator Management | (e) Prohibits password reuse for [Assignment: organization-defined number] generations | 5.5.3, 5.6.2.1, 5.6.2.1.1, 5.6.2.1.2, 5.6.2.1.3, 5.13.1.4
4 | 4.5 | Users | Protect | Use Multifactor Authentication For All Administrative Access | Use multi-factor authentication and encrypted channels for all administrative account access. | small superset | IA-02 (1) | Identification and Authentication (Organizational Users) | The information system implements multifactor authentication for network access to privileged accounts | 5.6.2.2, 5.6.2.2.1, 5.6.2.2.2, 5.13.7, 5.13.7.2
4 | 4.6 | Users | Protect | Use of Dedicated Machines For All Administrative Tasks | Ensure administrators use a dedicated machine for all administrative tasks or tasks requiring administrative access. This machine will be segmented from the organization's primary network and not be allowed Internet access. This machine will not be used for reading e-mail, composing documents, or browsing the Internet.
4 | 4.7 | Users | Protect | Limit Access to Script Tools | Limit access to scripting tools (such as Microsoft PowerShell and Python) to only administrative or development users with the need to access those capabilities.
4 | 4.8 | Users | Detect | Log and Alert on Changes to Administrative Group Membership | Configure systems to issue a log entry and alert when an account is added to or removed from any group assigned administrative privileges. | small subset | AU-3 | Content of Audit Records | The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event | 5.4.1
4 | 4.9 | Users | Detect | Log and [NAME] on Unsuccessful Administrative Account Login | Configure systems to issue a log entry and alert on unsuccessful logins to an administrative account. | small subset | AU-3 | Content of Audit Records | The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event | 5.4.1
5 |  |  |  | Secure Configuration for Hardware and Software on Mobile Devices, Laptops, Workstations and Servers
 |  |  |  | Establish, implement, and actively manage (track, report on, correct) the security configuration of mobile devices, laptops, servers, and workstations using a rigorous configuration management and change control process in order to prevent attackers from exploiting vulnerable services and settings.
5 | 5.1 | Applications | Protect | Establish Secure Configurations | Maintain documented, standard security configuration standards for all authorized operating systems and software. | small subset | AU-2 | Audit Events | a. Determines that the information system is capable of auditing the following events [Assignment: organization-defined auditable events] | 5.4.1, 5.4.1.1
 |  |  |  |  |  | small subset | CM-1 | Configuration Management Policy and Procedures | [NAME], documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance  and 2. Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls | 5.2.1.4, 5.7.1.1, 5.13.4
 |  |  |  |  |  | small subset | CM-2 | Baseline Configurations | The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system | 5.7.1.1, 5.7.2, 5.13.4
 |  |  |  |  |  | small subset | CM-6 | Configuration Settings | [NAME] and documents configuration settings for information technology products employed within the information system using [Assignment: organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements  b. Implements the configuration settings | 5.7.1, 5.7.1.1
 |  |  |  |  |  | small subset | CM-7 | Least Functionality | [NAME] the information system to provide only essential capabilities  and b. Prohibits or restricts the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined prohibited or restricted functions, ports, protocols, and/or services] | 5.7.1.1
 |  |  |  |  |  | small subset | IA-5 | Authenticator Management | e. Changing default content of authenticators prior to information system installation  f. Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators | 5.5.3, 5.6.2.1, 5.6.2.1.1, 5.6.2.1.2, 5.6.2.1.3, 5.6.2.2, 5.6.2.2.1, 5.6.2.2.2, 5.6.3, 5.6.3.1, 5.6.3.2, 5.6.4, 5.7, 5.7.1, 5.10.1, 5.10.1.2.3
 |  |  |  |  |  | small subset | IA-6 | Authenticator Feedback | Theinformationsystemobscuresfeedbackofauthenticationinformationduringthe authentication process to protect the information from possible exploitation/use by unauthorized individuals. | 5.6.2.1
 |  |  |  |  |  | small subset | SC-20 | Secure Name / Address Resolution Service (Authoritative Source) | [NAME] additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries  and b. Provides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace | 5.10.1.5
 |  |  |  |  |  | small subset | [NAME] | Secure Name / Address Resolution Service (Recursive or [NAME]) | The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources. | 5.10.1.5
5 | 5.2 | Applications | Protect | Maintain Secure Images | Maintain secure images or templates for all systems in the enterprise based on the organization's approved configuration standards. Any new system deployment or existing system that becomes compromised should be imaged using one of those images or templates.
5 | 5.3 | Applications | Protect | Securely Store Master Images | Store the master images and templates on securely configured servers, validated with integrity monitoring tools, to ensure that only authorized changes to the images are possible.
5 | 5.4 | Applications | Protect | Deploy System Configuration Management Tools | Deploy system configuration management tools that will automatically enforce and redeploy configuration settings to systems at regularly scheduled intervals.
5 | 5.5 | Applications | Detect | Implement Automated Configuration Monitoring Systems | Utilize a Security Content Automation Protocol (SCAP) compliant configuration monitoring system to verify all security configuration elements, catalog approved exceptions, and alert when unauthorized changes occur. | small subset | CM-6 | Configuration Settings | Identifies, documents, and approves any deviations from established configuration settings for [Assignment: organization-defined information system components] based on [Assignment: organization-defined operational requirements]  and d. Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures. | 5.7.1, 5.7.1.1
6 |  |  |  | Maintenance, Monitoring and Analysis of Audit Logs
 |  |  |  | Collect, manage, and analyze audit logs of events that could help detect, understand, or recover from an attack.
6 | 6.1 | Network | Detect | Utilize Three Synchronized Time Sources | Use at least three synchronized time sources from which all servers and network devices retrieve time information on a regular basis so that timestamps in logs are consistent. | small subset | AU-8 | Time Stamps | a. Uses internal system clocks to generate time stamps for audit records | 5.4.4
6 | 6.2 | Network | Detect | Activate audit logging | Ensure that local logging has been enabled on all systems and networking devices. | small subset | AU-3 | Content of Audit Records | The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event. | 5.4.1
 |  |  |  |  |  | large superset | AU-12 | Audit Generation | a. Provides audit record generation capability for the auditable events defined in AU-2 a. at [Assignment: organization-defined information system components]  b. Allows [Assignment: organization-defined personnel or roles] to select which auditable events are to be audited by specific components of the information system | 5.4.1, 5.4.1.1, 5.4.1.1.1
6 | 6.3 | Network | Detect | Enable Detailed Logging | Enable system logging to include detailed information such as a event source, date, user, timestamp, source addresses, destination addresses, and other useful elements. | large superset | AU-12 | Audit Generation | a. Provides audit record generation capability for the auditable events defined in AU-2 a. at [Assignment: organization-defined information system components]  b. Allows [Assignment: organization-defined personnel or roles] to select which auditable events are to be audited by specific components of the information system | 5.4.1, 5.4.1.1, 5.4.1.1.1
6 | 6.4 | Network | Detect | Ensure adequate storage for logs | Ensure that all systems that store logs have adequate storage space for the logs generated. | equal | AU-4 | Audit Storage Capacity | The organization allocates audit record storage capacity in accordance with [Assignment: organization-defined audit record storage requirements]. | 5.4.6, 5.4.7
6 | 6.5 | Network | Detect | Central Log Management | Ensure that appropriate logs are being aggregated to a central log management system for analysis and review.
6 | 6.6 | Network | Detect | Deploy SIEM or Log Analytic tool | Deploy Security Information and Event Management (SIEM) or log analytic tool for log correlation and analysis.
6 | 6.7 | Network | Detect | Regularly Review Logs | On a regular basis, review logs to identify anomalies or abnormal events. |  |  | Audit Review, Analysis, and Reporting | [NAME] and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]
6 | 6.8 | Network | Detect | [NAME] | On a regular basis, tune your SIEM system to better identify actionable events and decrease event noise.
7 |  |  |  | [NAME] and Web Browser Protections
 |  |  |  | Minimize the attack surface and the opportunities for attackers to manipulate human behavior though their interaction with web browsers and email systems.
7 | 7.1 | Applications | Protect | Ensure Use of Only Fully Supported Browsers and [NAME] | Ensure that only fully supported web browsers and email clients are allowed to execute in the organization, ideally only using the latest version of the browsers and email clients provided by the vendor.
7 | 7.2 | Applications | Protect | Disable Unnecessary or Unauthorized Browser or Email Client Plugins | Uninstall or disable any unauthorized browser or email client plugins or add-on applications.
7 | 7.3 | Applications | Protect | Limit Use of Scripting Languages in Web [NAME] and [NAME] | Ensure that only authorized scripting languages are able to run in all web browsers and email clients.
7 | 7.4 | Network | Protect | Maintain and [NAME] URL Filters | Enforce network-based URL filters that limit a system's ability to connect to websites not approved by the organization. This filtering shall be enforced for each of the organization's systems, whether they are physically at an organization's facilities or not.
7 | 7.5 | Network | Protect | Subscribe to URL-Categorization Service | Subscribe to URL categorization services to ensure that they are up-to-date with the most recent website category definitions available. Uncategorized sites shall be blocked by default.
7 | 7.6 | Network | Detect | Log all URL requests | Log all URL requests from each of the organization's systems, whether on-site or a mobile device, in order to identify potentially malicious activity and assist incident handlers with identifying potentially compromised systems.
7 | 7.7 | Network | Protect | Use of DNS Filtering Services | Use DNS filtering services to help block access to known malicious domains.
7 | 7.8 | Network | Protect | Implement DMARC and Enable Receiver-Side Verification | To lower the chance of spoofed or modified emails from valid domains, implement Domain-based Message Authentication, Reporting and Conformance (DMARC) policy and verification, starting by implementing the Sender Policy Framework (SPF) and the Domain Keys Identified Mail(DKIM) standards.
7 | 7.9 | Network | Protect | Block Unnecessary File Types | Block all e-mail attachments entering the organization's email gateway if the file types are unnecessary for the organization's business.
7 | 7.10 | Network | Protect | [NAME] | Use sandboxing to analyze and block inbound email attachments with malicious behavior.
8 |  |  |  | Malware Defenses
 |  |  |  | Control the installation, spread, and execution of malicious code at multiple points in the enterprise, while optimizing the use of automation to enable rapid updating of defense, data gathering, and corrective action.
8 | 8.1 | Devices | Protect | [NAME] Managed Anti-malware Software | Utilize centrally managed anti-malware software to continuously monitor and defend each of the organization's workstations and servers. | large subset | SI-3 | Malicious Code Protection | a. Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code | 5.10.4.2, 5.13.4.2
8 | 8.2 | Devices | Protect | Ensure Anti-Malware Software and [NAME] are Updated | Ensure that the organization's anti-malware software updates its scanning engine and signature database on a regular basis. | small superset | SI-3 | Malicious Code Protection | Updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures | 5.10.4.2, 5.13.4.2
8 | 8.3 | Devices | Protect | Enable Operating System Anti-Exploitation Features/ Deploy Anti-Exploit Technologies | Enable anti-exploitation features such as Data Execution Prevention (DEP) or Address Space Layout Randomization (ASLR) that are available in an operating system or deploy appropriate toolkits that can be configured to apply protection to a broader set of applications and executables. | large superset | [NAME] | Process Isolation | The information system maintains a separate execution domain for each executing process. | N/A
 |  |  |  |  |  | large superset | SI-16 | Memory Protection | The information system implements [Assignment: organization-defined security safeguards] to protect its memory from unauthorized code execution. | N/A
8 | 8.4 | Devices | Detect | [NAME] of Removable Devices | Configure devices so that they automatically conduct an anti-malware scan of removable media when inserted or connected. | small superset | SI-3 | Malicious Code Protection | [NAME] malicious code protection mechanisms to:  1. Perform periodic scans of the information system [Assignment: organization-defined frequency] and real-time scans of files from external sources at [Selection (one or more)  endpoint  network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy | 5.10.4.2, 5.13.4.2
8 | 8.5 | Devices | Protect | Configure Devices Not To Auto-Run Content | Configure devices to not auto-run content from removable media.
8 | 8.6 | Devices | Detect | Centralize Anti-Malware Logging | Send all malware detection events to enterprise anti-malware administration tools and event log servers for analysis and alerting. | small subset | AU-3 | Content of Audit Records | The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event. | 5.4.1
 |  |  |  |  |  | small subset | SI-5 | Security Alerts, Advisories, and Directives | b. Generates internal security alerts, advisories, and directives as deemed necessary  [NAME] security alerts, advisories, and directives to: [Selection (one or more): [Assignment: organization-defined personnel or roles]  [Assignment: organization-defined elements within the organization]  [Assignment: organization-defined external organizations]] | 5.10.4.4
8 | 8.7 | Network | Detect | Enable DNS Query Logging | Enable Domain Name System (DNS) query logging to detect hostname lookups for known malicious domains. | small subset | AU-3 | Content of Audit Records | The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event. | 5.4.1
 |  |  |  |  |  | small subset | SI-4 | Information System Monitoring | b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods] | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
8 | 8.8 | Devices | Detect | Enable Command-Line Audit Logging | Enable command-line audit logging for command shells, such as Microsoft PowerShell and Bash. | small subset | AU-3 | Content of Audit Records | The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event. | 5.4.1
9 |  |  |  | Limitation and Control of Network Ports, [NAME], and Services
 |  |  |  | Manage (track/control/correct) the ongoing operational use of ports, protocols, and services on networked devices in order to minimize windows of vulnerability available to attackers.
9 | 9.1 | Devices | Identify | Associate Active Ports, Services and Protocols to Asset Inventory | Associate active ports, services and protocols to the hardware assets in the asset inventory.
9 | 9.2 | Devices | Protect | Ensure Only Approved Ports, [NAME] and Services Are Running | Ensure that only network ports, protocols, and services listening on a system with validated business needs are running on each system. | small subset | SI-4 | Information System Monitoring | Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods] | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
9 | 9.3 | Devices | Detect | Perform Regular Automated Port Scans | Perform automated port scans on a regular basis against all systems and alert if unauthorized ports are detected on a system. | small subset | SI-4 | Information System Monitoring | a. Monitors the information system to detect: 1. Attacks and indicators of potential attacks in accordance with [Assignment: organization- defined monitoring objectives] | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
9 | 9.4 | Devices | Protect | [NAME] or Port Filtering | Apply host-based firewalls or port filtering tools on end systems, with a default-deny rule that drops all traffic except those services and ports that are explicitly allowed.
9 | 9.5 | Devices | Protect | Implement Application Firewalls | Place application firewalls in front of any critical servers to verify and validate the traffic going to the server. Any unauthorized traffic should be blocked and logged.
10 |  |  |  | Data Recovery Capabilities
 |  |  |  | The processes and tools used to properly back up critical information with a proven methodology for timely recovery of it.
10 | 10.1 | Data | Protect | Ensure Regular Automated BackUps | Ensure that all system data is automatically backed up on a regular basis. | small superset | CP-9 | Information system Backup | a. Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]  b. Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives] | 5.10.1.5
10 | 10.2 | Data | Protect | Perform Complete System Backups | Ensure that all of the organization's key systems are backed up as a complete system, through processes such as imaging, to enable the quick recovery of an entire system.
10 | 10.3 | Data | Protect | Test Data on Backup Media | Test data integrity on backup media on a regular basis by performing a data restoration process to ensure that the backup is properly working.
10 | 10.4 | Data | Protect | Ensure Protection of Backups | Ensure that backups are properly protected via physical security or encryption when they are stored, as well as when they are moved across the network. This includes remote backups and cloud services. | large subset | CP-9 | Information system Backup | d. Protects the confidentiality, integrity, and availability of backup information at storage locations. | 5.10.1.5
10 | 10.5 | Data | Protect | Ensure Backups Have At least One Non-Continuously Addressable Destination | Ensure that all backups have at least one backup destination that is not continuously addressable through operating system calls.
11 |  |  |  | Secure Configuration for Network Devices, such as Firewalls, Routers and Switches
 |  |  |  | Establish, implement, and actively manage (track, report on, correct) the security configuration of network infrastructure devices using a rigorous configuration management and change control process in order to prevent attackers from exploiting vulnerable services and settings.
11 | 11.1 | Network | Identify | Maintain Standard Security Configurations for Network Devices | Maintain standard, documented security configuration standards for all authorized network devices.
11 | 11.2 | Network | Identify | Document Traffic Configuration Rules | All configuration rules that allow traffic to flow through network devices should be documented in a configuration management system with a specific business reason for each rule, a specific individual’s name responsible for that business need, and an expected duration of the need. | large subset | CA-3 | System Interconnections | [NAME], for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated | 5.1.1, 5.1.1.2, 5.1.1.3, 5.1.1.4, 5.1.1.5, 5.1.1.6, 5.1.1.7, 5.1.1.8, 5.1.2, 5.1.2.1, 5.1.3
 |  |  |  |  |  | small subset | CA-9 | Internal System Connections | [NAME], for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated | 5.7.1.2, 5.10.1
11 | 11.3 | Network | Detect | Use Automated Tools to Verify Standard Device Configurations and Detect Changes | Compare all network device configuration against approved security configurations defined for each network device in use and alert when any deviations are discovered.
11 | 11.4 | Network | Protect | Install the Latest Stable Version of Any Security-Related Updates on All Network Devices | Install the latest stable version of any security-related updates on all network devices.
11 | 11.5 | Network | Protect | Manage Network Devices Using Multi-Factor Authentication and Encrypted Sessions | Manage all network devices using multi-factor authentication and encrypted sessions.
11 | 11.6 | Network | Protect | Use Dedicated Machines For All Network Administrative Tasks | Ensure network engineers use a dedicated machine for all administrative tasks or tasks requiring elevated access. This machine shall be segmented from the organization's primary network and not be allowed Internet access. This machine shall not be used for reading e-mail, composing documents, or surfing the Internet.
11 | 11.7 | Network | Protect | Manage Network Infrastructure Through a Dedicated Network | Manage the network infrastructure across network connections that are separated from the business use of that network, relying on separate VLANs or, preferably, on entirely different physical connectivity for management sessions for network devices.
12 |  |  |  | Boundary Defense
 |  |  |  | Detect/prevent/correct the flow of information transferring networks of different trust levels with a focus on security-damaging data.
12 | 12.1 | Network | Identify | Maintain an Inventory of Network Boundaries | Maintain an up-to-date inventory of all of the organization's network boundaries. | large subset | CA-3 | System Interconnections | [NAME], for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated | 5.1.1, 5.1.1.2, 5.1.1.3, 5.1.1.4, 5.1.1.5, 5.1.1.6, 5.1.1.7, 5.1.1.8, 5.1.2, 5.1.2.1, 5.1.3
12 | 12.2 | Network | Detect | Scan for Unauthorized Connections across Trusted Network Boundaries | Perform regular scans from outside each trusted network boundary to detect any unauthorized connections which are accessible across the boundary. | small subset | SI-4 | Information System Monitoring | a. Monitors the information system to detect:2. Unauthorized local, network, and remote connections | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
12 | 12.3 | Network | Protect | Deny Communications with Known Malicious IP Addresses | Deny communications with known malicious or unused Internet IP addresses and limit access only to trusted and necessary IP address ranges at each of the organization's network boundaries,.
12 | 12.4 | Network | Protect | Deny Communication over Unauthorized Ports | Deny communication over unauthorized TCP or UDP ports or application traffic to ensure that only authorized protocols are allowed to cross the network boundary in or out of the network at each of the organization's network boundaries. | large subset | SC-7 | Boundary Protection | a. Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system | 5.7.1.2, 5.10.1, 5.10.1.1, 5.10.1.3, 5.10.1.5
12 | 12.5 | Network | Detect | Configure Monitoring Systems to Record Network Packets | Configure monitoring systems to record network packets passing through the boundary at each of the organization's network boundaries.
12 | 12.6 | Network | Detect | [NAME] IDS Sensors | Deploy network-based Intrusion Detection Systems (IDS) sensors to look for unusual attack mechanisms and detect compromise of these systems at each of the organization's network boundaries. | small subset | SI-4 | Information System Monitoring | [NAME] monitoring devices: 1. Strategically within the information system to collect organization-determined essential information  and | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
12 | 12.7 | Network | Protect | [NAME] | Deploy network-based Intrusion Prevention Systems (IPS) to block malicious network traffic at each of the organization's network boundaries. | small subset | SI-4 | Information System Monitoring | [NAME] monitoring devices: 1. Strategically within the information system to collect organization-determined essential information  and | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
12 | 12.8 | Network | Detect | Deploy NetFlow Collection on Networking Boundary Devices | Enable the collection of NetFlow and logging data on all network boundary devices. | small subset | SI-4 | Information System Monitoring | [NAME] monitoring devices: 1. Strategically within the information system to collect organization-determined essential information  and | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
12 | 12.9 | Network | Detect | Deploy Application Layer Filtering Proxy Server | Ensure that all network traffic to or from the Internet passes through an authenticated application layer proxy that is configured to filter unauthorized connections. | small subset | SI-4 | Information System Monitoring | [NAME] monitoring devices: 1. Strategically within the information system to collect organization-determined essential information  and | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
12 | 12.10 | Network | Detect | [NAME] at Proxy | [NAME] all encrypted network traffic at the boundary proxy prior to analyzing the content. However, the organization may use whitelists of allowed sites that can be accessed through the proxy without decrypting the traffic.
12 | 12.11 | Users | Protect | Require All Remote Login to Use Multi-Factor Authentication | Require all remote login access to the organization's network to encrypt data in transit and use multi-factor authentication.
12 | 12.12 |  |  | Manage All Devices Remotely Logging into Internal Network | Scan all enterprise devices remotely logging into the organization's network prior to accessing the network to ensure that each of the organization's security policies has been enforced in the same manner as local network devices. | large subset | AC-17 | Remote Access | [NAME] and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed | 5.5.6, 5.5.6.1, 5.5.6.2, 5.10.1.2, 5.10.1.2.1, 5.10.1.2.2, 5.10.1.2.3
 |  | Devices | Protect |  |  | large subset | SC-7 | Boundary Protection | a. Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system | 5.7.1.2, 5.10.1, 5.10.1.1, 5.10.1.3, 5.10.1.5
13 |  |  |  | Data Protection
 |  |  |  | The processes and tools used to prevent data exfiltration, mitigate the effects of exfiltrated data, and ensure the privacy and integrity of sensitive information.
13 | 13.1 | Data | Identify | Maintain an Inventory of Sensitive Information | Maintain an inventory of all sensitive information stored, processed, or transmitted by the organization's technology systems, including those located on-site or at a remote service provider.
13 | 13.2 | Data | Protect | Remove Sensitive Data or Systems Not Regularly Accessed by Organization | Remove sensitive data or systems not regularly accessed by the organization from the network. These systems shall only be used as stand alone systems (disconnected from the network) by the business unit needing to occasionally use the system or completely virtualized and powered off until needed.
13 | 13.3 | Data | Detect | Monitor and Block Unauthorized Network Traffic | Deploy an automated tool on network perimeters that monitors for unauthorized transfer of sensitive information and blocks such transfers while alerting information security professionals. | large subset | CA-7 | [NAME] | The organization develops a continuous monitoring strategy and implement s a continuous monitoring program that includes: e. Correlation and analysis of security-related information generated by assessments and monitoring  f. Response actions to address results of the analysis of security-related information | 5.4.1, 5.4.1.1, 5.4.3, 5.11.1.1, 5.11.3
13 | 13.4 |  |  | Only Allow Access to Authorized Cloud Storage or Email Providers | Only allow access to authorized cloud storage or email providers. | small subset | AC-20 | Use of External Information Systems | The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to: a. Access the information system from external information systems  and b. Process, store, or transmit organization-controlled information using external information systems. | 5.8.1, 5.10.1, 5.10.1.1
 |  | Data | Protect |  |  | large subset | SA-9 | External Information System Services | c. Employs [Assignment: organization-defined processes, methods, and techniques] to monitor security control compliance by external service providers on an ongoing basis. | 5.1.2, 5.7.1.1
13 | 13.5 |  |  | Monitor and Detect Any Unauthorized Use of Encryption | Monitor all traffic leaving the organization and detect any unauthorized use of encryption. | large subset | CA-7 | [NAME] | The organization develops a continuous monitoring strategy and implement s a continuous monitoring program that includes: e. Correlation and analysis of security-related information generated by assessments and monitoring  f. Response actions to address results of the analysis of security-related information | 5.4.1, 5.4.1.1, 5.4.3, 5.11.1.1, 5.11.3
 |  | Data | Detect |  |  | small subset | SI-4 | Information System Monitoring | b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods] | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
13 | 13.6 | Data | Protect | Encrypt the Hard Drive of All Mobile Devices. | Utilize approved whole disk encryption software to encrypt the hard drive of all mobile devices.
13 | 13.7 | Data | Protect | Manage USB Devices | If USB storage devices are required, enterprise software should be used that can configure systems to allow the use of specific devices. An inventory of such devices should be maintained. | small subset | MP-2 | Media Access | The organization restricts access to [Assignment: organization-defined types of digital and/or non-digital media] to [Assignment: organization-defined personnel or roles]. | 5.8.1, 5.10.1.5
13 | 13.8 | Data | Protect | Manage System's External Removable Media's Read/Write Configurations | Configure systems not to write data to external removable media, if there is no business need for supporting such devices. | small subset | MP-7 | Media Use | Control: The organization [Selection: restricts  prohibits] the use of [Assignment: organization-defined types of information system media] on [Assignment: organization-defined information systems or system components] using [Assignment: organization-defined security safeguards]. | 5.10.1.5
13 | 13.9 | Data | Protect | Encrypt Data on USB Storage Devices | If USB storage devices are required, all data stored on such devices must be encrypted while at rest.
14 |  |  |  | Controlled Access Based on the Need to Know
 |  |  |  | The processes and tools used to track/control/prevent/correct secure access to critical assets (e.g., information, resources, systems) according to the formal determination of which persons, computers, and applications have a need and right to access these critical assets based on an approved classification.
14 | 14.1 | Network | Protect | Segment the Network Based on Sensitivity | Segment the network based on the label or classification level of the information stored on the servers, locate all sensitive information on separated Virtual Local Area Networks (VLANs).
14 | 14.2 | Network | Protect | Enable Firewall Filtering Between VLANs | Enable firewall filtering between VLANs to ensure that only authorized systems are able to communicate with other systems necessary to fulfill their specific responsibilities. | small subset | SI-4 | Information System Monitoring | b. Identifies unauthorized use of the information system through [Assignment: organization- defined techniques and methods] | 5.10.1.3, 5.13.1, 5.13.1.1, 5.13.1.4
 |  |  |  |  |  | small subset | CA-9 | Internal System Connections | [NAME], for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated. | 5.7.1.2, 5.10.1
14 | 14.3 | Network | Protect | Disable Workstation to Workstation Communication | Disable all workstation to workstation communication to limit an attacker's ability to move laterally and compromise neighboring systems, through technologies such as Private VLANs or micro segmentation.
14 | 14.4 | Data | Protect | Encrypt All Sensitive Information in Transit | Encrypt all sensitive information in transit.
14 | 14.5 | Data | Detect | Utilize an Active Discovery Tool to Identify Sensitive Data | Utilize an active discovery tool to identify all sensitive information stored, processed, or transmitted by the organization's technology systems, including those located on-site or at a remote service provider, and update the organization's sensitive information inventory.
14 | 14.6 | Data | Protect | Protect Information through Access Control Lists | Protect all information stored on systems with file system, network share, claims, application, or database specific access control lists. These controls will enforce the principle that only authorized individuals should have access to the information based on their need to access the information as a part of their responsibilities. | small subset | AC-3 | Access Enforcement | The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies. | 5.5.2
14 | 14.7 | Data | Protect | Enforce Access Control to Data through Automated Tools | Use an automated tool, such as host-based Data Loss Prevention, to enforce access controls to data even when data is copied off a system.
14 | 14.8 | Data | Protect | Encrypt Sensitive Information at Rest | Encrypt all sensitive information at rest using a tool that requires a secondary authentication mechanism not integrated into the operating system, in order to access the information.
14 | 14.9 | Data | Detect | [NAME] for Access or Changes to Sensitive Data | Enforce detailed audit logging for access to sensitive data or changes to sensitive data (utilizing tools such as File Integrity Monitoring or Security Information and Event Monitoring). | small subset | AU-3 | Content of Audit Records | The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event. | 5.4.1
15 |  |  |  | Wireless Access Control
 |  |  |  | The processes and tools used to track/control/prevent/correct the security use of wireless local area networks (WLANs), access points, and wireless client systems.
15 | 15.1 | Network | Identify | Maintain an Inventory of Authorized Wireless Access Points | Maintain an inventory of authorized wireless access points connected to the wired network.
15 | 15.2 | Network | Detect | Detect Wireless Access Points Connected to the Wired Network | Configure network vulnerability scanning tools to detect and alert on unauthorized wireless access points connected to the wired network.
15 | 15.3 | Network | Detect | Use a Wireless Intrusion Detection System | Use a wireless intrusion detection system (WIDS) to detect and alert on unauthorized wireless access points connected to the network.
15 | 15.4 | Devices | Protect | Disable Wireless Access on Devices if Not Required | Disable wireless access on devices that do not have a business purpose for wireless access.
15 | 15.5 | Devices | Protect | Limit Wireless Access on Client Devices | Configure wireless access on client machines that do have an essential wireless business purpose, to allow access only to authorized wireless networks and to restrict access to other wireless networks.
15 | 15.6 | Devices | Protect | Disable Peer-to-Peer Wireless Network Capabilities on Wireless Clients | Disable peer-to-peer (ad hoc) wireless network capabilities on wireless clients. | small subset | CM-10 | Software Usage Restrictions | [NAME] and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work. | 5.2.1.4, 5.7.1.1
15 | 15.7 | Network | Protect | Leverage the Advanced Encryption Standard (AES) to Encrypt Wireless Data | Leverage the Advanced Encryption Standard (AES) to encrypt wireless data in transit.
15 | 15.8 | Network | Protect | Use Wireless Authentication Protocols that [NAME], Multi-Factor Authentication | Ensure that wireless networks use authentication protocols such as Extensible Authentication Protocol-Transport Layer Security (EAP/TLS), which requires mutual, multi-factor authentication. | large superset | AC-18 | Wireless Access | b. Authorizes wireless access to the information system prior to allowing such connections. | 5.13.1, 5.13.1.1, 5.13.1.3, 5.13.1.4
15 | 15.9 | Devices | Protect | Disable Wireless Peripheral Access of Devices | Disable wireless peripheral access of devices (such as Bluetooth and NFC), unless such access is required for a business purpose.
15 | 15.10 | Network | Protect | Create Separate Wireless Network for Personal and Untrusted Devices | Create a separate wireless network for personal or untrusted devices. Enterprise access from this network should be treated as untrusted and filtered and audited accordingly.
16 |  |  |  | Account Monitoring and Control
 |  |  |  | Actively manage the life cycle of system and application accounts - their creation, use, dormancy, deletion - in order to minimize opportunities for attackers to leverage them.
16 | 16.1 | Users | Identify | Maintain an Inventory of Authentication Systems | Maintain an inventory of each of the organization's authentication systems, including those located on-site or at a remote service provider.
16 | 16.2 | Users | Protect | [NAME] | Configure access for all accounts through as few centralized points of authentication as possible, including network, security, and cloud systems.
16 | 16.3 | Users | Protect | Require Multi-Factor Authentication | [NAME] multi-factor authentication for all user accounts, on all systems, whether managed on-site or by a third-party provider.
16 | 16.4 | Users | Protect | Encrypt or Hash all Authentication Credentials | Encrypt or hash with a salt all authentication credentials when stored. | large subset | IA-5 | Authenticator Management | h. Protecting authenticator content from unauthorized disclosure and modification | 5.5.3, 5.6.2.1, 5.6.2.1.1, 5.6.2.1.2, 5.6.2.1.3, 5.6.2.2, 5.6.2.2.1, 5.6.2.2.2, 5.6.3, 5.6.3.1, 5.6.3.2, 5.6.4, 5.7, 5.7.1, 5.10.1, 5.10.1.2.3
 |  |  |  |  |  | small subset | IA-5 (1) | Authenticator Management | (c) Stores and transmits only cryptographically-protected passwords | 5.5.3, 5.6.2.1, 5.6.2.1.1, 5.6.2.1.2, 5.6.2.1.3, 5.13.1.4
16 | 16.5 | Users | Protect | Encrypt Transmittal of Username and Authentication Credentials | Ensure that all account usernames and authentication credentials are transmitted across networks using encrypted channels. | large subset | IA-5 | Authenticator Management | h. Protecting authenticator content from unauthorized disclosure and modification | 5.5.3, 5.6.2.1, 5.6.2.1.1, 5.6.2.1.2, 5.6.2.1.3, 5.6.2.2, 5.6.2.2.1, 5.6.2.2.2, 5.6.3, 5.6.3.1, 5.6.3.2, 5.6.4, 5.7, 5.7.1, 5.10.1, 5.10.1.2.3
16 | 16.6 | Users | Identify | Maintain an Inventory of Accounts | Maintain an inventory of all accounts organized by authentication system. | large superset | IA-4 | Identifier Management | [NAME] an identifier that identifies an individual, group, role, or device  c. Assigning the identifier to the intended individual, group, role, or device | 5.6.3, 5.6.3.1
16 | 16.7 | Users | Protect | Establish Process for Revoking Access | Establish and follow an automated process for revoking system access by disabling accounts immediately upon termination or change of responsibilities of an employee or contractor . Disabling these accounts, instead of deleting accounts, allows preservation of audit trails. | small subset | AC-2 | Account Management | f. Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions] | 5.1.1, 5.1.1.1, 5.1.1.2, 5.1.1.3, 5.1.1.4, 5.1.1.5, 5.1.1.6, 5.1.1.7, 5.1.1.8, 5.1.2, 5.1.2.1, 5.1.3, 5.1.4, 5.2, 5.5.1, 5.5.2, 5.5.2.1, 5.5.2.2, 5.5.2.3, 5.5.2.4, 5.5.4
16 | 16.8 | Users | Respond | Disable Any Unassociated Accounts | Disable any account that cannot be associated with a business process or business owner.
16 | 16.9 | Users | Respond | Disable Dormant Accounts | Automatically disable dormant accounts after a set period of inactivity.
16 | 16.10 | Users | Protect | Ensure All Accounts Have An Expiration Date | Ensure that all accounts have an expiration date that is monitored and enforced.
16 | 16.11 | Users | Protect | Lock Workstation Sessions After Inactivity | Automatically lock workstation sessions after a standard period of inactivity.
16 | 16.12 | Users | Detect | Monitor Attempts to Access Deactivated Accounts | Monitor attempts to access deactivated accounts through audit logging.
16 | 16.13 | Users | Detect | Alert on Account Login Behavior Deviation | Alert when users deviate from normal login behavior, such as time-of-day, workstation location and duration.
17 |  |  |  | Implement a Security Awareness and Training Program
 |  |  |  | For all functional roles in the organization (prioritizing those mission-critical to the business and its security), identify the specific knowledge, skills and abilities needed to support defense of the enterprise; develop and execute an integrated plan to assess, identify gaps, and remediate through policy, organizational planning, training, and awareness programs.
17 | 17.1 | N/A | N/A | Perform a Skills Gap Analysis | Perform a skills gap analysis to understand the skills and behaviors workforce members are not adhering to, using this information to build a baseline education roadmap.
17 | 17.2 | N/A | N/A | Deliver Training to Fill the Skills Gap | Deliver training to address the skills gap identified to positively impact workforce members' security behavior.
17 | 17.3 |  |  | Implement a Security Awareness Program | Create a security awareness program for all workforce members to complete on a regular basis to ensure they understand and exhibit the necessary behaviors and skills to help ensure the security of the organization. The organization's security awareness program should be communicated in a continuous and engaging manner. | large subset | AT-1 | Security Awareness and Training Policy and Procedures | [NAME], documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance | 5.2.1
 |  | N/A | N/A |  |  | large subset | AT-2 | Security Awareness Training | The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors) | 5.2.1.1, 5.2.1.2, 5.2.1.3
17 | 17.4 | N/A | N/A | Update Awareness Content Frequently | Ensure that the organization's security awareness program is updated frequently (at least annually) to address new technologies, threats, standards and business requirements.
17 | 17.5 | N/A | N/A | Train Workforce on Secure Authentication | Train workforce members on the importance of enabling and utilizing secure authentication.
17 | 17.6 | N/A | N/A | Train Workforce on Identifying Social Engineering Attacks | Train the workforce on how to identify different forms of social engineering attacks, such as phishing, phone scams and impersonation calls.
17 | 17.7 | N/A | N/A | Train Workforce on Sensitive Data Handling | Train workforce on how to identify and properly store, transfer, archive and destroy sensitive information.
17 | 17.8 | N/A | N/A | Train Workforce on Causes of Unintentional Data Exposure | Train workforce members to be aware of causes for unintentional data exposures, such as losing their mobile devices or emailing the wrong person due to autocomplete in email.
17 | 17.9 | N/A | N/A | Train Workforce Members on Identifying and Reporting Incidents | Train employees to be able to identify the most common indicators of an incident and be able to report such an incident. | small superset | IR-2 | Incident Response Training | The organization provides incident response training to information system users consistent with assigned roles and responsibilities: a. Within [Assignment: organization-defined time period] of assuming an incident response role or responsibility | 5.3.3, 5.13.5
18 |  |  |  | Application Software Security
 |  |  |  | Manage the security life cycle of all in-house developed and acquired software in order to prevent, detect, and correct security weaknesses.
18 | 18.1 | N/A | N/A | Establish Secure Coding Practices | Establish secure coding practices appropriate to the programming language and development environment being used.
18 | 18.2 | N/A | N/A | Ensure Explicit Error Checking is Performed for All In-House Developed Software | For in-house developed software, ensure that explicit error checking is performed and documented for all input, including for size, data type, and acceptable ranges or formats.
18 | 18.3 | N/A | N/A | Verify That Acquired Software is Still Supported | Verify that the version of all software acquired from outside your organization is still supported by the developer or appropriately hardened based on developer security recommendations.
18 | 18.4 | N/A | N/A | Only Use Up-to-Date And Trusted Third-Party Components | Only use up-to-date and trusted third-party components for the software developed by the organization.
18 | 18.5 | N/A | N/A | Use Only Standardized and Extensively Reviewed Encryption Algorithms | Use only standardized and extensively reviewed encryption algorithms.
18 | 18.6 | N/A | N/A | Ensure Software Development Personnel are Trained in Secure Coding | Ensure that all software development personnel receive training in writing secure code for their specific development environment and responsibilities.
18 | 18.7 | N/A | N/A | Apply Static and Dynamic Code Analysis Tools | Apply static and dynamic analysis tools to verify that secure coding practices are being adhered to for internally developed software.
18 | 18.8 | N/A | N/A | Establish a Process to Accept and Address Reports of Software Vulnerabilities | Establish a process to accept and address reports of software vulnerabilities, including providing a means for external entities to contact your security group.
18 | 18.9 | N/A | N/A | Separate Production and Non-Production Systems | Maintain separate environments for production and non-production systems. Developers should not have unmonitored access to production environments.
18 | 18.1 | N/A | N/A | Deploy Web Application Firewalls (WAFs) | Protect web applications by deploying web application firewalls (WAFs) that inspect all traffic flowing to the web application for common web application attacks. For applications that are not web-based, specific application firewalls should be deployed if such tools are available for the given application type. If the traffic is encrypted, the device should either sit behind the encryption or be capable of decrypting the traffic prior to analysis. If neither option is appropriate, a host-based web application firewall should be deployed.
18 | 18.11 | N/A | N/A | Use Standard Hardening Configuration Templates for Databases | For applications that rely on a database, use standard hardening configuration templates. All systems that are part of critical business processes should also be tested.
19 |  |  |  | Incident Response and Management
 |  |  |  | Protect the organization's information, as well as its reputation, by developing and implementing an incident response infrastructure (e.g., plans, defined roles, training, communications, management oversight) for quickly discovering an attack and then effectively containing the damage, eradicating the attacker's presence, and restoring the integrity of the network and systems.
19 | 19.1 | N/A | N/A | Document Incident Response Procedures | Ensure that there are written incident response plans that define roles of personnel as well as phases of incident handling/management. | large subset | IR-1 | Incident Response Policy and Procedures | Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance  and | 5.3.2, 5.10.1.5, 5.13.5
 |  |  |  |  |  | large subset | IR-8 | Incident Response Plan | a. Develops an incident response plan that: 1. Provides the organization with a roadmap for implementing its incident response capability | 5.1.1.1, 5.3.1, 5.3.2, 5.3.2.1, 5.3.2.2, 5.10.1.5, 5.10.2
19 | 19.2 | N/A | N/A | Assign Job Titles and Duties for Incident Response | Assign job titles and duties for handling computer and network incidents to specific individuals and ensure tracking and documentation throughout the incident through resolution. | large subset | IR-1 | Incident Response Policy and Procedures | Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance | 5.3.2, 5.10.1.5, 5.13.5
19 | 19.3 | N/A | N/A | Designate Management Personnel to Support Incident Handling | Designate management personnel, as well as backups, who will support the incident handling process by acting in key decision-making roles. | equal | IR-8 | Incident Response Plan | a. Develops an incident response plan that:7. Defines the resources and management support needed to effectively maintain and mature an incident response capability | 5.1.1.1, 5.3.1, 5.3.2, 5.3.2.1, 5.3.2.2, 5.10.1.5, 5.10.2
19 | 19.4 | N/A | N/A | Devise Organization-wide Standards for Reporting Incidents | Devise organization-wide standards for the time required for system administrators and other workforce members to report anomalous events to the incident handling team, the mechanisms for such reporting, and the kind of information that should be included in the incident notification. | large superset | IR-6 | Incident Reporting | The organization: a. Requires personnel to report suspected security incidents to the organizational incident response capability within [Assignment: organization-defined time period] | 5.3.1, 5.10.1.5
 |  |  |  |  |  | small superset | IR-8 | Incident Response Plan | a. Develops an incident response plan that:5. Defines reportable incidents | 5.1.1.1, 5.3.1, 5.3.2, 5.3.2.1, 5.3.2.2, 5.10.1.5, 5.10.2
19 | 19.5 | N/A | N/A | Maintain Contact Information For Reporting Security Incidents | Assemble and maintain information on third-party contact information to be used to report a security incident, such as [NAME], relevant government departments, vendors, and ISAC partners. | large superset | IR-6 | Incident Reporting | The organization: a. Requires personnel to report suspected security incidents to the organizational incident response capability within [Assignment: organization-defined time period] | 5.3.1, 5.10.1.5
19 | 19.6 | N/A | N/A | Publish Information Regarding Reporting Computer Anomalies and Incidents | Publish information for all workforce members, regarding reporting computer anomalies and incidents to the incident handling team. Such information should be included in routine employee awareness activities. | large subset | SI-5 | Security Alerts, Advisories, and Directives | [NAME] security alerts, advisories, and directives to: [Selection (one or more): [Assignment: organization-defined personnel or roles]  [Assignment: organization-defined elements within the organization]  [Assignment: organization-defined external organizations]] | 5.10.4.4
19 | 19.7 | N/A | N/A | Conduct Periodic Incident Scenario Sessions for Personnel | Plan and conduct routine incident, response exercises and scenarios for the workforce involved in the incident response to maintain awareness and comfort in responding to real world threats. Exercises should test communication channels, decision making, and incident responders technical capabilities using tools and data available to them.
19 | 19.8 | N/A | N/A | Create Incident Scoring and [NAME] | Create incident scoring and prioritization schema based on known or potential impact to your organization. Utilize score to define frequency of status updates and escalation procedures. | small superset | IR-8 | Incident Response Plan | a. Develops an incident response plan that:6. Provides metrics for measuring the incident response capability within the organization | 5.1.1.1, 5.3.1, 5.3.2, 5.3.2.1, 5.3.2.2, 5.10.1.5, 5.10.2
20 |  |  |  | Penetration Tests and Red Team Exercises
 |  |  |  | Test the overall strength of an organization's defense (the technology, the processes, and the people) by simulating the objectives and actions of an attacker.
20 | 20.1 | N/A | N/A | Establish a Penetration Testing Program | Establish a program for penetration tests that includes a full scope of blended attacks, such as wireless, client-based, and web application attacks.
20 | 20.2 | N/A | N/A | Conduct Regular External and Internal Penetration Tests | Conduct regular external and internal penetration tests to identify vulnerabilities and attack vectors that can be used to exploit enterprise systems successfully.
20 | 20.3 | N/A | N/A | Perform Periodic Red Team Exercises | Perform periodic Red Team exercises to test organizational readiness to identify and stop attacks or to respond quickly and effectively.
20 | 20.4 | N/A | N/A | Include Tests for Presence of Unprotected System Information and Artifacts | Include tests for the presence of unprotected system information and artifacts that would be useful to attackers, including network diagrams, configuration files, older penetration test reports, e-mails or documents containing passwords or other information critical to system operation.
20 | 20.5 | N/A | N/A | Create Test Bed for Elements Not Typically Tested in Production | Create a test bed that mimics a production environment for specific penetration tests and Red Team attacks against elements that are not typically tested in production, such as attacks against supervisory control and data acquisition and other control systems.
20 | 20.6 | N/A | N/A | Use Vulnerability Scanning and Penetration Testing Tools in [NAME] | Use vulnerability scanning and penetration testing tools in concert. The results of vulnerability scanning assessments should be used as a starting point to guide and focus penetration testing efforts.
20 | 20.7 | N/A | N/A | Ensure Results from Penetration Test are Documented Using Open, Machine-readable Standards | Wherever possible, ensure that Red Team results are documented using open, machine-readable standards (e.g., SCAP). Devise a scoring method for determining the results of Red Team exercises so that results can be compared over time.
20 | 20.8 | N/A | N/A | Control and Monitor Accounts Associated with Penetration Testing | Any user or system accounts used to perform penetration testing should be controlled and monitored to make sure they are only being used for legitimate purposes, and are removed or restored to normal function after testing is over.