old-riskletpy/controls.csv

1	Subcategory	Function	Category	Implementation_Examples	Effectiveness_Monitoring_Examples	Documentation_Score	Implementation_Score
2	GV.OC-01: The organizational mission is understood and informs cybersecurity risk management	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Organizational Context (GV.OC): The circumstances — mission, stakeholder expectations, dependencies, and legal, regulatory, and contractual requirements — surrounding the organization’s cybersecurity risk management decisions are understood	Ex1:  Share the organization’s mission (e.g., through vision and mission statements, marketing, and service strategies) to provide a basis for identifying risks that may impede that mission
3	GV.OC-02: Internal and external stakeholders are understood, and their needs and expectations regarding cybersecurity risk management are understood and considered	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Organizational Context (GV.OC): The circumstances — mission, stakeholder expectations, dependencies, and legal, regulatory, and contractual requirements — surrounding the organization’s cybersecurity risk management decisions are understood	Ex1:  Identify relevant internal stakeholders and their cybersecurity-related expectations (e.g., performance and risk expectations of officers, directors, and advisors; cultural expectations of employees) Ex2:  Identify relevant external stakeholders and their cybersecurity-related expectations (e.g., privacy expectations of customers, business expectations of partnerships, compliance expectations of regulators, ethics expectations of society)
4	GV.OC-03: Legal, regulatory, and contractual requirements regarding cybersecurity — including privacy and civil liberties obligations — are understood and managed	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Organizational Context (GV.OC): The circumstances — mission, stakeholder expectations, dependencies, and legal, regulatory, and contractual requirements — surrounding the organization’s cybersecurity risk management decisions are understood	Ex1:  Determine a process to track and manage legal and regulatory requirements regarding protection of individuals’ information (e.g., Health Insurance Portability and Accountability Act, California Consumer Privacy Act, General Data Protection Regulation) Ex2:  Determine a process to track and manage contractual requirements for cybersecurity management of supplier, customer, and partner information Ex3:  Align the organization’s cybersecurity strategy with legal, regulatory, and contractual requirements
5	GV.OC-04: Critical objectives, capabilities, and services that stakeholders depend on or expect from the organization are understood and communicated	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Organizational Context (GV.OC): The circumstances — mission, stakeholder expectations, dependencies, and legal, regulatory, and contractual requirements — surrounding the organization’s cybersecurity risk management decisions are understood	Ex1:  Establish criteria for determining the criticality of capabilities and services as viewed by internal and external stakeholders Ex2:  Determine (e.g., from a business impact analysis) assets and business operations that are vital to achieving mission objectives and the potential impact of a loss (or partial loss) of such operations Ex3:  Establish and communicate resilience objectives (e.g., recovery time objectives) for delivering critical capabilities and services in various operating states (e.g., under attack, during recovery, normal operation)
6	GV.OC-05: Outcomes, capabilities, and services that the organization depends on are understood and communicated	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Organizational Context (GV.OC): The circumstances — mission, stakeholder expectations, dependencies, and legal, regulatory, and contractual requirements — surrounding the organization’s cybersecurity risk management decisions are understood	Ex1:  Create an inventory of the organization’s dependencies on external resources (e.g., facilities, cloud-based hosting providers) and their relationships to organizational assets and business functions Ex2:  Identify and document external dependencies that are potential points of failure for the organization’s critical capabilities and services, and share that information with appropriate personnel
7	GV.RM-01: Risk management objectives are established and agreed to by organizational stakeholders	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Risk Management Strategy (GV.RM): The organization’s priorities, constraints, risk tolerance and appetite statements, and assumptions are established, communicated, and used to support operational risk decisions	Ex1:  Update near-term and long-term cybersecurity risk management objectives as part of annual strategic planning and when major changes occur Ex2:  Establish measurable objectives for cybersecurity risk management (e.g., manage the quality of user training, ensure adequate risk protection for industrial control systems) Ex3:  Senior leaders agree about cybersecurity objectives and use them for measuring and managing risk and performance
8	GV.RM-02: Risk appetite and risk tolerance statements are established, communicated, and maintained	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Risk Management Strategy (GV.RM): The organization’s priorities, constraints, risk tolerance and appetite statements, and assumptions are established, communicated, and used to support operational risk decisions	Ex1:  Determine and communicate risk appetite statements that convey expectations about the appropriate level of risk for the organization Ex2:  Translate risk appetite statements into specific, measurable, and broadly understandable risk tolerance statements Ex3:  Refine organizational objectives and risk appetite periodically based on known risk exposure and residual risk
9	GV.RM-03: Cybersecurity risk management activities and outcomes are included in enterprise risk management processes	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Risk Management Strategy (GV.RM): The organization’s priorities, constraints, risk tolerance and appetite statements, and assumptions are established, communicated, and used to support operational risk decisions	Ex1:  Aggregate and manage cybersecurity risks alongside other enterprise risks (e.g., compliance, financial, operational, regulatory, reputational, safety) Ex2:  Include cybersecurity risk managers in enterprise risk management planning Ex3:  Establish criteria for escalating cybersecurity risks within enterprise risk management
10	GV.RM-04: Strategic direction that describes appropriate risk response options is established and communicated	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Risk Management Strategy (GV.RM): The organization’s priorities, constraints, risk tolerance and appetite statements, and assumptions are established, communicated, and used to support operational risk decisions	Ex1:  Specify criteria for accepting and avoiding cybersecurity risk for various classifications of data Ex2:  Determine whether to purchase cybersecurity insurance Ex3:  Document conditions under which shared responsibility models are acceptable (e.g., outsourcing certain cybersecurity functions, having a third party perform financial transactions on behalf of the organization, using public cloud-based services)
11	GV.RM-05: Lines of communication across the organization are established for cybersecurity risks, including risks from suppliers and other third parties	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Risk Management Strategy (GV.RM): The organization’s priorities, constraints, risk tolerance and appetite statements, and assumptions are established, communicated, and used to support operational risk decisions	Ex1:  Determine how to update senior executives, directors, and management on the organization’s cybersecurity posture at agreed-upon intervals Ex2:  Identify how all departments across the organization — such as management, operations, internal auditors, legal, acquisition, physical security, and HR — will communicate with each other about cybersecurity risks
12	GV.RM-06: A standardized method for calculating, documenting, categorizing, and prioritizing cybersecurity risks is established and communicated	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Risk Management Strategy (GV.RM): The organization’s priorities, constraints, risk tolerance and appetite statements, and assumptions are established, communicated, and used to support operational risk decisions	Ex1:  Establish criteria for using a quantitative approach to cybersecurity risk analysis, and specify probability and exposure formulas Ex2:  Create and use templates (e.g., a risk register) to document cybersecurity risk information (e.g., risk description, exposure, treatment, and ownership) Ex3:  Establish criteria for risk prioritization at the appropriate levels within the enterprise Ex4:  Use a consistent list of risk categories to support integrating, aggregating, and comparing cybersecurity risks
13	GV.RM-07: Strategic opportunities (i.e., positive risks) are characterized and are included in organizational cybersecurity risk discussions	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Risk Management Strategy (GV.RM): The organization’s priorities, constraints, risk tolerance and appetite statements, and assumptions are established, communicated, and used to support operational risk decisions	Ex1:  Define and communicate guidance and methods for identifying opportunities and including them in risk discussions (e.g., strengths, weaknesses, opportunities, and threats [SWOT] analysis) Ex2:  Identify stretch goals and document them Ex3:  Calculate, document, and prioritize positive risks alongside negative risks
14	GV.RR-01: Organizational leadership is responsible and accountable for cybersecurity risk and fosters a culture that is risk-aware, ethical, and continually improving	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Roles, Responsibilities, and Authorities (GV.RR): Cybersecurity roles, responsibilities, and authorities to foster accountability, performance assessment, and continuous improvement are established and communicated	Ex1:  Leaders (e.g., directors) agree on their roles and responsibilities in developing, implementing, and assessing the organization’s cybersecurity strategy Ex2:  Share leaders’ expectations regarding a secure and ethical culture, especially when current events present the opportunity to highlight positive or negative examples of cybersecurity risk management Ex3:  Leaders direct the CISO to maintain a comprehensive cybersecurity risk strategy and review and update it at least annually and after major events Ex4:  Conduct reviews to ensure adequate authority and coordination among those responsible for managing cybersecurity risk
15	GV.RR-02: Roles, responsibilities, and authorities related to cybersecurity risk management are established, communicated, understood, and enforced	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Roles, Responsibilities, and Authorities (GV.RR): Cybersecurity roles, responsibilities, and authorities to foster accountability, performance assessment, and continuous improvement are established and communicated	Ex1:  Document risk management roles and responsibilities in policy Ex2:  Document who is responsible and accountable for cybersecurity risk management activities and how those teams and individuals are to be consulted and informed Ex3:  Include cybersecurity responsibilities and performance requirements in personnel descriptions Ex4:  Document performance goals for personnel with cybersecurity risk management responsibilities, and periodically measure performance to identify areas for improvement Ex5:  Clearly articulate cybersecurity responsibilities within operations, risk functions, and internal audit functions
16	GV.RR-03: Adequate resources are allocated commensurate with the cybersecurity risk strategy, roles, responsibilities, and policies	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Roles, Responsibilities, and Authorities (GV.RR): Cybersecurity roles, responsibilities, and authorities to foster accountability, performance assessment, and continuous improvement are established and communicated	Ex1:  Conduct periodic management reviews to ensure that those given cybersecurity risk management responsibilities have the necessary authority Ex2:  Identify resource allocation and investment in line with risk tolerance and response Ex3:  Provide adequate and sufficient people, process, and technical resources to support the cybersecurity strategy
17	GV.RR-04: Cybersecurity is included in human resources practices	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Roles, Responsibilities, and Authorities (GV.RR): Cybersecurity roles, responsibilities, and authorities to foster accountability, performance assessment, and continuous improvement are established and communicated	Ex1:  Integrate cybersecurity risk management considerations into human resources processes (e.g., personnel screening, onboarding, change notification, offboarding) Ex2:  Consider cybersecurity knowledge to be a positive factor in hiring, training, and retention decisions Ex3:  Conduct background checks prior to onboarding new personnel for sensitive roles, and periodically repeat background checks for personnel with such roles Ex4:  Define and enforce obligations for personnel to be aware of, adhere to, and uphold security policies as they relate to their roles
18	GV.PO-01: Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated and enforced	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Policy (GV.PO): Organizational cybersecurity policy is established, communicated, and enforced	Ex1:  Create, disseminate, and maintain an understandable, usable risk management policy with statements of management intent, expectations, and direction Ex2:  Periodically review policy and supporting processes and procedures to ensure that they align with risk management strategy objectives and priorities, as well as the high-level direction of the cybersecurity policy Ex3:  Require approval from senior management on policy Ex4:  Communicate cybersecurity risk management policy and supporting processes and procedures across the organization Ex5:  Require personnel to acknowledge receipt of policy when first hired, annually, and whenever policy is updated
19	GV.PO-02: Policy for managing cybersecurity risks is reviewed, updated, communicated, and enforced to reflect changes in requirements, threats, technology, and organizational mission	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Policy (GV.PO): Organizational cybersecurity policy is established, communicated, and enforced	Ex1:  Update policy based on periodic reviews of cybersecurity risk management results to ensure that policy and supporting processes and procedures adequately maintain risk at an acceptable level Ex2:  Provide a timeline for reviewing changes to the organization’s risk environment (e.g., changes in risk or in the organization’s mission objectives), and communicate recommended policy updates Ex3:  Update policy to reflect changes in legal and regulatory requirements Ex4:  Update policy to reflect changes in technology (e.g., adoption of artificial intelligence) and changes to the business (e.g., acquisition of a new business, new contract requirements)
20	GV.OV-01: Cybersecurity risk management strategy outcomes are reviewed to inform and adjust strategy and direction	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Oversight (GV.OV): Results of organization-wide cybersecurity risk management activities and performance are used to inform, improve, and adjust the risk management strategy	Ex1:  Measure how well the risk management strategy and risk results have helped leaders make decisions and achieve organizational objectives Ex2:  Examine whether cybersecurity risk strategies that impede operations or innovation should be adjusted
21	GV.OV-02: The cybersecurity risk management strategy is reviewed and adjusted to ensure coverage of organizational requirements and risks	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Oversight (GV.OV): Results of organization-wide cybersecurity risk management activities and performance are used to inform, improve, and adjust the risk management strategy	Ex1:  Review audit findings to confirm whether the existing cybersecurity strategy has ensured compliance with internal and external requirements Ex2:  Review the performance oversight of those in cybersecurity-related roles to determine whether policy changes are necessary Ex3:  Review strategy in light of cybersecurity incidents
22	GV.OV-03: Organizational cybersecurity risk management performance is evaluated and reviewed for adjustments needed	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Oversight (GV.OV): Results of organization-wide cybersecurity risk management activities and performance are used to inform, improve, and adjust the risk management strategy	Ex1:  Review key performance indicators (KPIs) to ensure that organization-wide policies and procedures achieve objectives Ex2:  Review key risk indicators (KRIs) to identify risks the organization faces, including likelihood and potential impact Ex3:  Collect and communicate metrics on cybersecurity risk management with senior leadership
23	GV.SC-01: A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Establish a strategy that expresses the objectives of the cybersecurity supply chain risk management program Ex2:  Develop the cybersecurity supply chain risk management program, including a plan (with milestones), policies, and procedures that guide implementation and improvement of the program, and share the policies and procedures with the organizational stakeholders Ex3:  Develop and implement program processes based on the strategy, objectives, policies, and procedures that are agreed upon and performed by the organizational stakeholders Ex4:  Establish a cross-organizational mechanism that ensures alignment between functions that contribute to cybersecurity supply chain risk management, such as cybersecurity, IT, operations, legal, human resources, and engineering
24	GV.SC-02: Cybersecurity roles and responsibilities for suppliers, customers, and partners are established, communicated, and coordinated internally and externally	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Identify one or more specific roles or positions that will be responsible and accountable for planning, resourcing, and executing cybersecurity supply chain risk management activities Ex2:  Document cybersecurity supply chain risk management roles and responsibilities in policy Ex3:  Create responsibility matrixes to document who will be responsible and accountable for cybersecurity supply chain risk management activities and how those teams and individuals will be consulted and informed Ex4:  Include cybersecurity supply chain risk management responsibilities and performance requirements in personnel descriptions to ensure clarity and improve accountability Ex5:  Document performance goals for personnel with cybersecurity risk management-specific responsibilities, and periodically measure them to demonstrate and improve performance Ex6:  Develop roles and responsibilities for suppliers, customers, and business partners to address shared responsibilities for applicable cybersecurity risks, and integrate them into organizational policies and applicable third-party agreements Ex7:  Internally communicate cybersecurity supply chain risk management roles and responsibilities for third parties Ex8:  Establish rules and protocols for information sharing and reporting processes between the organization and its suppliers
25	GV.SC-03: Cybersecurity supply chain risk management is integrated into cybersecurity and enterprise risk management, risk assessment, and improvement processes	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Identify areas of alignment and overlap with cybersecurity and enterprise risk management Ex2:  Establish integrated control sets for cybersecurity risk management and cybersecurity supply chain risk management Ex3:  Integrate cybersecurity supply chain risk management into improvement processes Ex4:  Escalate material cybersecurity risks in supply chains to senior management, and address them at the enterprise risk management level
26	GV.SC-04: Suppliers are known and prioritized by criticality	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Develop criteria for supplier criticality based on, for example, the sensitivity of data processed or possessed by suppliers, the degree of access to the organization’s systems, and the importance of the products or services to the organization’s mission Ex2:  Keep a record of all suppliers, and prioritize suppliers based on the criticality criteria
27	GV.SC-05: Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and other types of agreements with suppliers and other relevant third parties	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Establish security requirements for suppliers, products, and services commensurate with their criticality level and potential impact if compromised Ex2:  Include all cybersecurity and supply chain requirements that third parties must follow and how compliance with the requirements may be verified in default contractual language Ex3:  Define the rules and protocols for information sharing between the organization and its suppliers and sub-tier suppliers in agreements Ex4:  Manage risk by including security requirements in agreements based on their criticality and potential impact if compromised Ex5:  Define security requirements in service-level agreements (SLAs) for monitoring suppliers for acceptable security performance throughout the supplier relationship lifecycle Ex6:  Contractually require suppliers to disclose cybersecurity features, functions, and vulnerabilities of their products and services for the life of the product or the term of service Ex7:  Contractually require suppliers to provide and maintain a current component inventory (e.g., software or hardware bill of materials) for critical products Ex8:  Contractually require suppliers to vet their employees and guard against insider threats Ex9:  Contractually require suppliers to provide evidence of performing acceptable security practices through, for example, self-attestation, conformance to known standards, certifications, or inspections Ex10:  Specify in contracts and other agreements the rights and responsibilities of the organization, its suppliers, and their supply chains, with respect to potential cybersecurity risks
28	GV.SC-06: Planning and due diligence are performed to reduce risks before entering into formal supplier or other third-party relationships	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Perform thorough due diligence on prospective suppliers that is consistent with procurement planning and commensurate with the level of risk, criticality, and complexity of each supplier relationship Ex2:  Assess the suitability of the technology and cybersecurity capabilities and the risk management practices of prospective suppliers Ex3:  Conduct supplier risk assessments against business and applicable cybersecurity requirements Ex4:  Assess the authenticity, integrity, and security of critical products prior to acquisition and use
29	GV.SC-07: The risks posed by a supplier, their products and services, and other third parties are understood, recorded, prioritized, assessed, responded to, and monitored over the course of the relationship	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Adjust assessment formats and frequencies based on the third party’s reputation and the criticality of the products or services they provide Ex2:  Evaluate third parties’ evidence of compliance with contractual cybersecurity requirements, such as self-attestations, warranties, certifications, and other artifacts Ex3:  Monitor critical suppliers to ensure that they are fulfilling their security obligations throughout the supplier relationship lifecycle using a variety of methods and techniques, such as inspections, audits, tests, or other forms of evaluation Ex4:  Monitor critical suppliers, services, and products for changes to their risk profiles, and reevaluate supplier criticality and risk impact accordingly Ex5:  Plan for unexpected supplier and supply chain-related interruptions to ensure business continuity
30	GV.SC-08: Relevant suppliers and other third parties are included in incident planning, response, and recovery activities	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Define and use rules and protocols for reporting incident response and recovery activities and the status between the organization and its suppliers Ex2:  Identify and document the roles and responsibilities of the organization and its suppliers for incident response Ex3:  Include critical suppliers in incident response exercises and simulations Ex4:  Define and coordinate crisis communication methods and protocols between the organization and its critical suppliers Ex5:  Conduct collaborative lessons learned sessions with critical suppliers
31	GV.SC-09: Supply chain security practices are integrated into cybersecurity and enterprise risk management programs, and their performance is monitored throughout the technology product and service life cycle	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Policies and procedures require provenance records for all acquired technology products and services Ex2:  Periodically provide risk reporting to leaders about how acquired components are proven to be untampered and authentic Ex3:  Communicate regularly among cybersecurity risk managers and operations personnel about the need to acquire software patches, updates, and upgrades only from authenticated and trustworthy software providers Ex4:  Review policies to ensure that they require approved supplier personnel to perform maintenance on supplier products Ex5:  Policies and procedure require checking upgrades to critical hardware for unauthorized changes
32	GV.SC-10: Cybersecurity supply chain risk management plans include provisions for activities that occur after the conclusion of a partnership or service agreement	GOVERN (GV): The organization’s cybersecurity risk management strategy, expectations, and policy are established, communicated, and monitored	Cybersecurity Supply Chain Risk Management (GV.SC): Cyber supply chain risk management processes are identified, established, managed, monitored, and improved by organizational stakeholders	Ex1:  Establish processes for terminating critical relationships under both normal and adverse circumstances Ex2:  Define and implement plans for component end-of-life maintenance support and obsolescence Ex3:  Verify that supplier access to organization resources is deactivated promptly when it is no longer needed Ex4:  Verify that assets containing the organization’s data are returned or properly disposed of in a timely, controlled, and safe manner Ex5:  Develop and execute a plan for terminating or transitioning supplier relationships that takes supply chain security risk and resiliency into account Ex6:  Mitigate risks to data and systems created by supplier termination Ex7:  Manage data leakage risks associated with supplier termination
33	ID.AM-01: Inventories of hardware managed by the organization are maintained	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Asset Management (ID.AM): Assets (e.g., data, hardware, software, systems, facilities, services, people) that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to organizational objectives and the organization’s risk strategy	Ex1:  Maintain inventories for all types of hardware, including IT, IoT, OT, and mobile devices Ex2:  Constantly monitor networks to detect new hardware and automatically update inventories
34	ID.AM-02: Inventories of software, services, and systems managed by the organization are maintained	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Asset Management (ID.AM): Assets (e.g., data, hardware, software, systems, facilities, services, people) that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to organizational objectives and the organization’s risk strategy	Ex1:  Maintain inventories for all types of software and services, including commercial-off-the-shelf, open-source, custom applications, API services, and cloud-based applications and services Ex2:  Constantly monitor all platforms, including containers and virtual machines, for software and service inventory changes Ex3:  Maintain an inventory of the organization’s systems
35	ID.AM-03: Representations of the organization’s authorized network communication and internal and external network data flows are maintained	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Asset Management (ID.AM): Assets (e.g., data, hardware, software, systems, facilities, services, people) that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to organizational objectives and the organization’s risk strategy	Ex1:  Maintain baselines of communication and data flows within the organization’s wired and wireless networks Ex2:  Maintain baselines of communication and data flows between the organization and third parties Ex3: Maintain baselines of communication and data flows for the organization’s infrastructure-as-a-service (IaaS) usage Ex4:  Maintain documentation of expected network ports, protocols, and services that are typically used among authorized systems
36	ID.AM-04: Inventories of services provided by suppliers are maintained	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Asset Management (ID.AM): Assets (e.g., data, hardware, software, systems, facilities, services, people) that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to organizational objectives and the organization’s risk strategy	Ex1:  Inventory all external services used by the organization, including third-party infrastructure-as-a-service (IaaS), platform-as-a-service (PaaS), and software-as-a-service (SaaS) offerings; APIs; and other externally hosted application services Ex2:  Update the inventory when a new external service is going to be utilized to ensure adequate cybersecurity risk management monitoring of the organization’s use of that service
37	ID.AM-05: Assets are prioritized based on classification, criticality, resources, and impact on the mission	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Asset Management (ID.AM): Assets (e.g., data, hardware, software, systems, facilities, services, people) that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to organizational objectives and the organization’s risk strategy	Ex1:  Define criteria for prioritizing each class of assets Ex2:  Apply the prioritization criteria to assets Ex3:  Track the asset priorities and update them periodically or when significant changes to the organization occur
38	ID.AM-07: Inventories of data and corresponding metadata for designated data types are maintained	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Asset Management (ID.AM): Assets (e.g., data, hardware, software, systems, facilities, services, people) that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to organizational objectives and the organization’s risk strategy	Ex1:  Maintain a list of the designated data types of interest (e.g., personally identifiable information, protected health information, financial account numbers, organization intellectual property, operational technology data) Ex2:  Continuously discover and analyze ad hoc data to identify new instances of designated data types Ex3:  Assign data classifications to designated data types through tags or labels Ex4:  Track the provenance, data owner, and geolocation of each instance of designated data types
39	ID.AM-08: Systems, hardware, software, services, and data are managed throughout their life cycles	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Asset Management (ID.AM): Assets (e.g., data, hardware, software, systems, facilities, services, people) that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to organizational objectives and the organization’s risk strategy	Ex1:  Integrate cybersecurity considerations throughout the life cycles of systems, hardware, software, and services Ex2:  Integrate cybersecurity considerations into product life cycles Ex3:  Identify unofficial uses of technology to meet mission objectives (i.e., “shadow IT”) Ex4:  Periodically identify redundant systems, hardware, software, and services that unnecessarily increase the organization’s attack surface Ex5:  Properly configure and secure systems, hardware, software, and services prior to their deployment in production Ex6:  Update inventories when systems, hardware, software, and services are moved or transferred within the organization Ex7:  Securely destroy stored data based on the organization’s data retention policy using the prescribed destruction method, and keep and manage a record of the destructions Ex8:  Securely sanitize data storage when hardware is being retired, decommissioned, reassigned, or sent for repairs or replacement Ex9:  Offer methods for destroying paper, storage media, and other physical forms of data storage
40	ID.RA-01: Vulnerabilities in assets are identified, validated, and recorded	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Use vulnerability management technologies to identify unpatched and misconfigured software Ex2:  Assess network and system architectures for design and implementation weaknesses that affect cybersecurity Ex3:  Review, analyze, or test organization-developed software to identify design, coding, and default configuration vulnerabilities Ex4:  Assess facilities that house critical computing assets for physical vulnerabilities and resilience issues Ex5:  Monitor sources of cyber threat intelligence for information on new vulnerabilities in products and services Ex6:  Review processes and procedures for weaknesses that could be exploited to affect cybersecurity
41	ID.RA-02: Cyber threat intelligence is received from information sharing forums and sources	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Configure cybersecurity tools and technologies with detection or response capabilities to securely ingest cyber threat intelligence feeds Ex2:  Receive and review advisories from reputable third parties on current threat actors and their tactics, techniques, and procedures (TTPs) Ex3:  Monitor sources of cyber threat intelligence for information on the types of vulnerabilities that emerging technologies may have
42	ID.RA-03: Internal and external threats to the organization are identified and recorded	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Use cyber threat intelligence to maintain awareness of the types of threat actors likely to target the organization and the TTPs they are likely to use Ex2:  Perform threat hunting to look for signs of threat actors within the environment Ex3:  Implement processes for identifying internal threat actors
43	ID.RA-04: Potential impacts and likelihoods of threats exploiting vulnerabilities are identified and recorded	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Business leaders and cybersecurity risk management practitioners work together to estimate the likelihood and impact of risk scenarios and record them in risk registers Ex2:  Enumerate the potential business impacts of unauthorized access to the organization’s communications, systems, and data processed in or by those systems Ex3:  Account for the potential impacts of cascading failures for systems of systems
44	ID.RA-05: Threats, vulnerabilities, likelihoods, and impacts are used to understand inherent risk and inform risk response prioritization	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Develop threat models to better understand risks to the data and identify appropriate risk responses Ex2:  Prioritize cybersecurity resource allocations and investments based on estimated likelihoods and impacts
45	ID.RA-06: Risk responses are chosen, prioritized, planned, tracked, and communicated	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Apply the vulnerability management plan’s criteria for deciding whether to accept, transfer, mitigate, or avoid risk Ex2:  Apply the vulnerability management plan’s criteria for selecting compensating controls to mitigate risk Ex3:  Track the progress of risk response implementation (e.g., plan of action and milestones [POA&M], risk register, risk detail report) Ex4:  Use risk assessment findings to inform risk response decisions and actions Ex5:  Communicate planned risk responses to affected stakeholders in priority order
46	ID.RA-07: Changes and exceptions are managed, assessed for risk impact, recorded, and tracked	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Implement and follow procedures for the formal documentation, review, testing, and approval of proposed changes and requested exceptions Ex2:  Document the possible risks of making or not making each proposed change, and provide guidance on rolling back changes Ex3:  Document the risks related to each requested exception and the plan for responding to those risks Ex4:  Periodically review risks that were accepted based upon planned future actions or milestones
47	ID.RA-08: Processes for receiving, analyzing, and responding to vulnerability disclosures are established	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Conduct vulnerability information sharing between the organization and its suppliers following the rules and protocols defined in contracts Ex2:  Assign responsibilities and verify the execution of procedures for processing, analyzing the impact of, and responding to cybersecurity threat, vulnerability, or incident disclosures by suppliers, customers, partners, and government cybersecurity organizations
48	ID.RA-09: The authenticity and integrity of hardware and software are assessed prior to acquisition and use	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1:  Assess the authenticity and cybersecurity of critical technology products and services prior to acquisition and use
49	ID.RA-10: Critical suppliers are assessed prior to acquisition	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Risk Assessment (ID.RA): The cybersecurity risk to the organization, assets, and individuals is understood by the organization	Ex1: Conduct supplier risk assessments against business and applicable cybersecurity requirements, including the supply chain
50	ID.IM-01: Improvements are identified from evaluations	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Improvement (ID.IM): Improvements to organizational cybersecurity risk management processes, procedures and activities are identified across all CSF Functions	Ex1:  Perform self-assessments of critical services that take current threats and TTPs into consideration Ex2:  Invest in third-party assessments or independent audits of the effectiveness of the organization’s cybersecurity program to identify areas that need improvement Ex3:  Constantly evaluate compliance with selected cybersecurity requirements through automated means
51	ID.IM-02: Improvements are identified from security tests and exercises, including those done in coordination with suppliers and relevant third parties	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Improvement (ID.IM): Improvements to organizational cybersecurity risk management processes, procedures and activities are identified across all CSF Functions	Ex1:  Identify improvements for future incident response activities based on findings from incident response assessments (e.g., tabletop exercises and simulations, tests, internal reviews, independent audits) Ex2:  Identify improvements for future business continuity, disaster recovery, and incident response activities based on exercises performed in coordination with critical service providers and product suppliers Ex3:  Involve internal stakeholders (e.g., senior executives, legal department, HR) in security tests and exercises as appropriate Ex4:  Perform penetration testing to identify opportunities to improve the security posture of selected high-risk systems as approved by leadership Ex5:  Exercise contingency plans for responding to and recovering from the discovery that products or services did not originate with the contracted supplier or partner or were altered before receipt Ex6:  Collect and analyze performance metrics using security tools and services to inform improvements to the cybersecurity program
52	ID.IM-03: Improvements are identified from execution of operational processes, procedures, and activities	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Improvement (ID.IM): Improvements to organizational cybersecurity risk management processes, procedures and activities are identified across all CSF Functions	Ex1:  Conduct collaborative lessons learned sessions with suppliers Ex2:  Annually review cybersecurity policies, processes, and procedures to take lessons learned into account Ex3:  Use metrics to assess operational cybersecurity performance over time
53	ID.IM-04: Incident response plans and other cybersecurity plans that affect operations are established, communicated, maintained, and improved	IDENTIFY (ID): The organization’s current cybersecurity risks are understood	Improvement (ID.IM): Improvements to organizational cybersecurity risk management processes, procedures and activities are identified across all CSF Functions	Ex1:  Establish contingency plans (e.g., incident response, business continuity, disaster recovery) for responding to and recovering from adverse events that can interfere with operations, expose confidential information, or otherwise endanger the organization’s mission and viability Ex2:  Include contact and communication information, processes for handling common scenarios, and criteria for prioritization, escalation, and elevation in all contingency plans Ex3:  Create a vulnerability management plan to identify and assess all types of vulnerabilities and to prioritize, test, and implement risk responses Ex4:  Communicate cybersecurity plans (including updates) to those responsible for carrying them out and to affected parties Ex5:  Review and update all cybersecurity plans annually or when a need for significant improvements is identified
54	PR.AA-01: Identities and credentials for authorized users, services, and hardware are managed by the organization	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Identity Management, Authentication, and Access Control (PR.AA): Access to physical and logical assets is limited to authorized users, services, and hardware and managed commensurate with the assessed risk of unauthorized access	Ex1:  Initiate requests for new access or additional access for employees, contractors, and others, and track, review, and fulfill the requests, with permission from system or data owners when needed Ex2:  Issue, manage, and revoke cryptographic certificates and identity tokens, cryptographic keys (i.e., key management), and other credentials Ex3:  Select a unique identifier for each device from immutable hardware characteristics or an identifier securely provisioned to the device Ex4:  Physically label authorized hardware with an identifier for inventory and servicing purposes
55	PR.AA-02: Identities are proofed and bound to credentials based on the context of interactions	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Identity Management, Authentication, and Access Control (PR.AA): Access to physical and logical assets is limited to authorized users, services, and hardware and managed commensurate with the assessed risk of unauthorized access	Ex1:  Verify a person’s claimed identity at enrollment time using government-issued identity credentials (e.g., passport, visa, driver’s license) Ex2:  Issue a different credential for each person (i.e., no credential sharing)
56	PR.AA-03: Users, services, and hardware are authenticated	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Identity Management, Authentication, and Access Control (PR.AA): Access to physical and logical assets is limited to authorized users, services, and hardware and managed commensurate with the assessed risk of unauthorized access	Ex1:  Require multifactor authentication Ex2:  Enforce policies for the minimum strength of passwords, PINs, and similar authenticators Ex3:  Periodically reauthenticate users, services, and hardware based on risk (e.g., in zero trust architectures) Ex4: Ensure that authorized personnel can access accounts essential for protecting safety under emergency conditions
57	PR.AA-04: Identity assertions are protected, conveyed, and verified	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Identity Management, Authentication, and Access Control (PR.AA): Access to physical and logical assets is limited to authorized users, services, and hardware and managed commensurate with the assessed risk of unauthorized access	Ex1:  Protect identity assertions that are used to convey authentication and user information through single sign-on systems Ex2:  Protect identity assertions that are used to convey authentication and user information between federated systems Ex3:  Implement standards-based approaches for identity assertions in all contexts, and follow all guidance for the generation (e.g., data models, metadata), protection (e.g., digital signing, encryption), and verification (e.g., signature validation) of identity assertions
58	PR.AA-05: Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Identity Management, Authentication, and Access Control (PR.AA): Access to physical and logical assets is limited to authorized users, services, and hardware and managed commensurate with the assessed risk of unauthorized access	Ex1:  Review logical and physical access privileges periodically and whenever someone changes roles or leaves the organization, and promptly rescind privileges that are no longer needed Ex2:  Take attributes of the requester and the requested resource into account for authorization decisions (e.g., geolocation, day/time, requester endpoint’s cyber health) Ex3:  Restrict access and privileges to the minimum necessary (e.g., zero trust architecture) Ex4:  Periodically review the privileges associated with critical business functions to confirm proper separation of duties
59	PR.AA-06: Physical access to assets is managed, monitored, and enforced commensurate with risk	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Identity Management, Authentication, and Access Control (PR.AA): Access to physical and logical assets is limited to authorized users, services, and hardware and managed commensurate with the assessed risk of unauthorized access	Ex1:  Use security guards, security cameras, locked entrances, alarm systems, and other physical controls to monitor facilities and restrict access Ex2:  Employ additional physical security controls for areas that contain high-risk assets Ex3:  Escort guests, vendors, and other third parties within areas that contain business-critical assets
60	PR.AT-01: Personnel are provided with awareness and training so that they possess the knowledge and skills to perform general tasks with cybersecurity risks in mind	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Awareness and Training (PR.AT): The organization’s personnel are provided with cybersecurity awareness and training so that they can perform their cybersecurity-related tasks	Ex1:  Provide basic cybersecurity awareness and training to employees, contractors, partners, suppliers, and all other users of the organization’s non-public resources Ex2:  Train personnel to recognize social engineering attempts and other common attacks, report attacks and suspicious activity, comply with acceptable use policies, and perform basic cyber hygiene tasks (e.g., patching software, choosing passwords, protecting credentials) Ex3:  Explain the consequences of cybersecurity policy violations, both to individual users and the organization as a whole Ex4:  Periodically assess or test users on their understanding of basic cybersecurity practices Ex5:  Require annual refreshers to reinforce existing practices and introduce new practices
61	PR.AT-02: Individuals in specialized roles are provided with awareness and training so that they possess the knowledge and skills to perform relevant tasks with cybersecurity risks in mind	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Awareness and Training (PR.AT): The organization’s personnel are provided with cybersecurity awareness and training so that they can perform their cybersecurity-related tasks	Ex1:  Identify the specialized roles within the organization that require additional cybersecurity training, such as physical and cybersecurity personnel, finance personnel, senior leadership, and anyone with access to business-critical data Ex2:  Provide role-based cybersecurity awareness and training to all those in specialized roles, including contractors, partners, suppliers, and other third parties Ex3:  Periodically assess or test users on their understanding of cybersecurity practices for their specialized roles Ex4:  Require annual refreshers to reinforce existing practices and introduce new practices
62	PR.DS-01: The confidentiality, integrity, and availability of data-at-rest are protected	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Data Security (PR.DS): Data are managed consistent with the organization’s risk strategy to protect the confidentiality, integrity, and availability of information	Ex1:  Use encryption, digital signatures, and cryptographic hashes to protect the confidentiality and integrity of stored data in files, databases, virtual machine disk images, container images, and other resources Ex2:  Use full disk encryption to protect data stored on user endpoints Ex3:  Confirm the integrity of software by validating signatures Ex4:  Restrict the use of removable media to prevent data exfiltration Ex5:  Physically secure removable media containing unencrypted sensitive information, such as within locked offices or file cabinets
63	PR.DS-02: The confidentiality, integrity, and availability of data-in-transit are protected	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Data Security (PR.DS): Data are managed consistent with the organization’s risk strategy to protect the confidentiality, integrity, and availability of information	Ex1:  Use encryption, digital signatures, and cryptographic hashes to protect the confidentiality and integrity of network communications Ex2:  Automatically encrypt or block outbound emails and other communications that contain sensitive data, depending on the data classification Ex3:  Block access to personal email, file sharing, file storage services, and other personal communications applications and services from organizational systems and networks Ex4:  Prevent reuse of sensitive data from production environments (e.g., customer records) in development, testing, and other non-production environments
64	PR.DS-10: The confidentiality, integrity, and availability of data-in-use are protected	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Data Security (PR.DS): Data are managed consistent with the organization’s risk strategy to protect the confidentiality, integrity, and availability of information	Ex1:  Remove data that must remain confidential (e.g., from processors and memory) as soon as it is no longer needed Ex2:  Protect data in use from access by other users and processes of the same platform
65	PR.DS-11: Backups of data are created, protected, maintained, and tested	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Data Security (PR.DS): Data are managed consistent with the organization’s risk strategy to protect the confidentiality, integrity, and availability of information	Ex1:  Continuously back up critical data in near-real-time, and back up other data frequently at agreed-upon schedules Ex2:  Test backups and restores for all types of data sources at least annually Ex3:  Securely store some backups offline and offsite so that an incident or disaster will not damage them Ex4:  Enforce geographic separation and geolocation restrictions for data backup storage
66	PR.PS-01: Configuration management practices are established and applied	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Platform Security (PR.PS): The hardware, software (e.g., firmware, operating systems, applications), and services of physical and virtual platforms are managed consistent with the organization’s risk strategy to protect their confidentiality, integrity, and availability	Ex1:  Establish, test, deploy, and maintain hardened baselines that enforce the organization’s cybersecurity policies and provide only essential capabilities (i.e., principle of least functionality) Ex2: Review all default configuration settings that may potentially impact cybersecurity when installing or upgrading software Ex3: Monitor implemented software for deviations from approved baselines
67	PR.PS-02: Software is maintained, replaced, and removed commensurate with risk	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Platform Security (PR.PS): The hardware, software (e.g., firmware, operating systems, applications), and services of physical and virtual platforms are managed consistent with the organization’s risk strategy to protect their confidentiality, integrity, and availability	Ex1:  Perform routine and emergency patching within the timeframes specified in the vulnerability management plan Ex2:  Update container images, and deploy new container instances to replace rather than update existing instances Ex3:  Replace end-of-life software and service versions with supported, maintained versions Ex4:  Uninstall and remove unauthorized software and services that pose undue risks Ex5:  Uninstall and remove any unnecessary software components (e.g., operating system utilities) that attackers might misuse Ex6:  Define and implement plans for software and service end-of-life maintenance support and obsolescence
68	PR.PS-03: Hardware is maintained, replaced, and removed commensurate with risk	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Platform Security (PR.PS): The hardware, software (e.g., firmware, operating systems, applications), and services of physical and virtual platforms are managed consistent with the organization’s risk strategy to protect their confidentiality, integrity, and availability	Ex1:  Replace hardware when it lacks needed security capabilities or when it cannot support software with needed security capabilities Ex2:  Define and implement plans for hardware end-of-life maintenance support and obsolescence Ex3:  Perform hardware disposal in a secure, responsible, and auditable manner
69	PR.PS-04: Log records are generated and made available for continuous monitoring	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Platform Security (PR.PS): The hardware, software (e.g., firmware, operating systems, applications), and services of physical and virtual platforms are managed consistent with the organization’s risk strategy to protect their confidentiality, integrity, and availability	Ex1:  Configure all operating systems, applications, and services (including cloud-based services) to generate log records Ex2:  Configure log generators to securely share their logs with the organization’s logging infrastructure systems and services Ex3:  Configure log generators to record the data needed by zero-trust architectures
70	PR.PS-05: Installation and execution of unauthorized software are prevented	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Platform Security (PR.PS): The hardware, software (e.g., firmware, operating systems, applications), and services of physical and virtual platforms are managed consistent with the organization’s risk strategy to protect their confidentiality, integrity, and availability	Ex1:  When risk warrants it, restrict software execution to permitted products only or deny the execution of prohibited and unauthorized software Ex2:  Verify the source of new software and the software’s integrity before installing it Ex3:  Configure platforms to use only approved DNS services that block access to known malicious domains Ex4:  Configure platforms to allow the installation of organization-approved software only
71	PR.PS-06: Secure software development practices are integrated, and their performance is monitored throughout the software development life cycle	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Platform Security (PR.PS): The hardware, software (e.g., firmware, operating systems, applications), and services of physical and virtual platforms are managed consistent with the organization’s risk strategy to protect their confidentiality, integrity, and availability	Ex1:  Protect all components of organization-developed software from tampering and unauthorized access Ex2:  Secure all software produced by the organization, with minimal vulnerabilities in their releases Ex3:  Maintain the software used in production environments, and securely dispose of software once it is no longer needed
72	PR.IR-01: Networks and environments are protected from unauthorized logical access and usage	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Technology Infrastructure Resilience (PR.IR): Security architectures are managed with the organization’s risk strategy to protect asset confidentiality, integrity, and availability, and organizational resilience	Ex1:  Logically segment organization networks and cloud-based platforms according to trust boundaries and platform types (e.g., IT, IoT, OT, mobile, guests), and permit required communications only between segments Ex2:  Logically segment organization networks from external networks, and permit only necessary communications to enter the organization’s networks from the external networks Ex3:  Implement zero trust architectures to restrict network access to each resource to the minimum necessary Ex4:  Check the cyber health of endpoints before allowing them to access and use production resources
73	PR.IR-02: The organization’s technology assets are protected from environmental threats	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Technology Infrastructure Resilience (PR.IR): Security architectures are managed with the organization’s risk strategy to protect asset confidentiality, integrity, and availability, and organizational resilience	Ex1:  Protect organizational equipment from known environmental threats, such as flooding, fire, wind, and excessive heat and humidity Ex2:  Include protection from environmental threats and provisions for adequate operating infrastructure in requirements for service providers that operate systems on the organization's behalf
74	PR.IR-03: Mechanisms are implemented to achieve resilience requirements in normal and adverse situations	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Technology Infrastructure Resilience (PR.IR): Security architectures are managed with the organization’s risk strategy to protect asset confidentiality, integrity, and availability, and organizational resilience	Ex1:  Avoid single points of failure in systems and infrastructure Ex2:  Use load balancing to increase capacity and improve reliability Ex3:  Use high-availability components like redundant storage and power supplies to improve system reliability
75	PR.IR-04: Adequate resource capacity to ensure availability is maintained	PROTECT (PR): Safeguards to manage the organization’s cybersecurity risks are used	Technology Infrastructure Resilience (PR.IR): Security architectures are managed with the organization’s risk strategy to protect asset confidentiality, integrity, and availability, and organizational resilience	Ex1:  Monitor usage of storage, power, compute, network bandwidth, and other resources Ex2:  Forecast future needs, and scale resources accordingly
76	DE.CM-01: Networks and network services are monitored to find potentially adverse events	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Continuous Monitoring (DE.CM): Assets are monitored to find anomalies, indicators of compromise, and other potentially adverse events	Ex1:  Monitor DNS, BGP, and other network services for adverse events Ex2:  Monitor wired and wireless networks for connections from unauthorized endpoints Ex3:  Monitor facilities for unauthorized or rogue wireless networks Ex4:  Compare actual network flows against baselines to detect deviations Ex5:  Monitor network communications to identify changes in security postures for zero trust purposes
77	DE.CM-02: The physical environment is monitored to find potentially adverse events	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Continuous Monitoring (DE.CM): Assets are monitored to find anomalies, indicators of compromise, and other potentially adverse events	Ex1:  Monitor logs from physical access control systems (e.g., badge readers) to find unusual access patterns (e.g., deviations from the norm) and failed access attempts Ex2:  Review and monitor physical access records (e.g., from visitor registration, sign-in sheets) Ex3:  Monitor physical access controls (e.g., locks, latches, hinge pins, alarms) for signs of tampering Ex4:  Monitor the physical environment using alarm systems, cameras, and security guards
78	DE.CM-03: Personnel activity and technology usage are monitored to find potentially adverse events	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Continuous Monitoring (DE.CM): Assets are monitored to find anomalies, indicators of compromise, and other potentially adverse events	Ex1:  Use behavior analytics software to detect anomalous user activity to mitigate insider threats Ex2:  Monitor logs from logical access control systems to find unusual access patterns and failed access attempts Ex3:  Continuously monitor deception technology, including user accounts, for any usage
79	DE.CM-06: External service provider activities and services are monitored to find potentially adverse events	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Continuous Monitoring (DE.CM): Assets are monitored to find anomalies, indicators of compromise, and other potentially adverse events	Ex1:  Monitor remote and onsite administration and maintenance activities that external providers perform on organizational systems Ex2:  Monitor activity from cloud-based services, internet service providers, and other service providers for deviations from expected behavior
80	DE.CM-09: Computing hardware and software, runtime environments, and their data are monitored to find potentially adverse events	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Continuous Monitoring (DE.CM): Assets are monitored to find anomalies, indicators of compromise, and other potentially adverse events	Ex1:  Monitor email, web, file sharing, collaboration services, and other common attack vectors to detect malware, phishing, data leaks and exfiltration, and other adverse events Ex2:  Monitor authentication attempts to identify attacks against credentials and unauthorized credential reuse Ex3:  Monitor software configurations for deviations from security baselines Ex4: Monitor hardware and software for signs of tampering Ex5: Use technologies with a presence on endpoints to detect cyber health issues (e.g., missing patches, malware infections, unauthorized software), and redirect the endpoints to a remediation environment before access is authorized
81	DE.AE-02: Potentially adverse events are analyzed to better understand associated activities	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Adverse Event Analysis (DE.AE): Anomalies, indicators of compromise, and other potentially adverse events are analyzed to characterize the events and detect cybersecurity incidents	Ex1:  Use security information and event management (SIEM) or other tools to continuously monitor log events for known malicious and suspicious activity Ex2:  Utilize up-to-date cyber threat intelligence in log analysis tools to improve detection accuracy and characterize threat actors, their methods, and indicators of compromise Ex3:  Regularly conduct manual reviews of log events for technologies that cannot be sufficiently monitored through automation Ex4:  Use log analysis tools to generate reports on their findings
82	DE.AE-03: Information is correlated from multiple sources	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Adverse Event Analysis (DE.AE): Anomalies, indicators of compromise, and other potentially adverse events are analyzed to characterize the events and detect cybersecurity incidents	Ex1:  Constantly transfer log data generated by other sources to a relatively small number of log servers Ex2:  Use event correlation technology (e.g., SIEM) to collect information captured by multiple sources Ex3:  Utilize cyber threat intelligence to help correlate events among log sources
83	DE.AE-04: The estimated impact and scope of adverse events are understood	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Adverse Event Analysis (DE.AE): Anomalies, indicators of compromise, and other potentially adverse events are analyzed to characterize the events and detect cybersecurity incidents	Ex1:  Use SIEMs or other tools to estimate impact and scope, and review and refine the estimates Ex2:  A person creates their own estimates of impact and scope
84	DE.AE-06: Information on adverse events is provided to authorized staff and tools	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Adverse Event Analysis (DE.AE): Anomalies, indicators of compromise, and other potentially adverse events are analyzed to characterize the events and detect cybersecurity incidents	Ex1:  Use cybersecurity software to generate alerts and provide them to the security operations center (SOC), incident responders, and incident response tools Ex2:  Incident responders and other authorized personnel can access log analysis findings at all times Ex3:  Automatically create and assign tickets in the organization’s ticketing system when certain types of alerts occur Ex4:  Manually create and assign tickets in the organization’s ticketing system when technical staff discover indicators of compromise
85	DE.AE-07: Cyber threat intelligence and other contextual information are integrated into the analysis	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Adverse Event Analysis (DE.AE): Anomalies, indicators of compromise, and other potentially adverse events are analyzed to characterize the events and detect cybersecurity incidents	Ex1:  Securely provide cyber threat intelligence feeds to detection technologies, processes, and personnel Ex2:  Securely provide information from asset inventories to detection technologies, processes, and personnel Ex3:  Rapidly acquire and analyze vulnerability disclosures for the organization’s technologies from suppliers, vendors, and third-party security advisories
86	DE.AE-08: Incidents are declared when adverse events meet the defined incident criteria	DETECT (DE): Possible cybersecurity attacks and compromises are found and analyzed	Adverse Event Analysis (DE.AE): Anomalies, indicators of compromise, and other potentially adverse events are analyzed to characterize the events and detect cybersecurity incidents	Ex1:  Apply incident criteria to known and assumed characteristics of activity in order to determine whether an incident should be declared Ex2:  Take known false positives into account when applying incident criteria
87	RS.MA-01: The incident response plan is executed in coordination with relevant third parties once an incident is declared	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Management (RS.MA): Responses to detected cybersecurity incidents are managed	Ex1:  Detection technologies automatically report confirmed incidents Ex2:  Request incident response assistance from the organization’s incident response outsourcer Ex3:  Designate an incident lead for each incident Ex4: Initiate execution of additional cybersecurity plans as needed to support incident response (for example, business continuity and disaster recovery)
88	RS.MA-02: Incident reports are triaged and validated	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Management (RS.MA): Responses to detected cybersecurity incidents are managed	Ex1:  Preliminarily review incident reports to confirm that they are cybersecurity-related and necessitate incident response activities Ex2:  Apply criteria to estimate the severity of an incident
89	RS.MA-03: Incidents are categorized and prioritized	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Management (RS.MA): Responses to detected cybersecurity incidents are managed	Ex1:  Further review and categorize incidents based on the type of incident (e.g., data breach, ransomware, DDoS, account compromise) Ex2:  Prioritize incidents based on their scope, likely impact, and time-critical nature Ex3:  Select incident response strategies for active incidents by balancing the need to quickly recover from an incident with the need to observe the attacker or conduct a more thorough investigation
90	RS.MA-04: Incidents are escalated or elevated as needed	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Management (RS.MA): Responses to detected cybersecurity incidents are managed	Ex1:  Track and validate the status of all ongoing incidents Ex2:  Coordinate incident escalation or elevation with designated internal and external stakeholders
91	RS.MA-05: The criteria for initiating incident recovery are applied	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Management (RS.MA): Responses to detected cybersecurity incidents are managed	Ex1:  Apply incident recovery criteria to known and assumed characteristics of the incident to determine whether incident recovery processes should be initiated Ex2:  Take the possible operational disruption of incident recovery activities into account
92	RS.AN-03: Analysis is performed to establish what has taken place during an incident and the root cause of the incident	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Analysis (RS.AN): Investigations are conducted to ensure effective response and support forensics and recovery activities	Ex1:  Determine the sequence of events that occurred during the incident and which assets and resources were involved in each event Ex2:  Attempt to determine what vulnerabilities, threats, and threat actors were directly or indirectly involved in the incident Ex3:  Analyze the incident to find the underlying, systemic root causes Ex4:  Check any cyber deception technology for additional information on attacker behavior
93	RS.AN-06: Actions performed during an investigation are recorded, and the records’ integrity and provenance are preserved	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Analysis (RS.AN): Investigations are conducted to ensure effective response and support forensics and recovery activities	Ex1:  Require each incident responder and others (e.g., system administrators, cybersecurity engineers) who perform incident response tasks to record their actions and make the record immutable Ex2:  Require the incident lead to document the incident in detail and be responsible for preserving the integrity of the documentation and the sources of all information being reported
94	RS.AN-07: Incident data and metadata are collected, and their integrity and provenance are preserved	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Analysis (RS.AN): Investigations are conducted to ensure effective response and support forensics and recovery activities	Ex1:  Collect, preserve, and safeguard the integrity of all pertinent incident data and metadata (e.g., data source, date/time of collection) based on evidence preservation and chain-of-custody procedures
95	RS.AN-08: An incident’s magnitude is estimated and validated	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Analysis (RS.AN): Investigations are conducted to ensure effective response and support forensics and recovery activities	Ex1:  Review other potential targets of the incident to search for indicators of compromise and evidence of persistence Ex2:  Automatically run tools on targets to look for indicators of compromise and evidence of persistence
96	RS.CO-02: Internal and external stakeholders are notified of incidents	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Response Reporting and Communication (RS.CO): Response activities are coordinated with internal and external stakeholders as required by laws, regulations, or policies	Ex1:  Follow the organization’s breach notification procedures after discovering a data breach incident, including notifying affected customers Ex2:  Notify business partners and customers of incidents in accordance with contractual requirements Ex3:  Notify law enforcement agencies and regulatory bodies of incidents based on criteria in the incident response plan and management approval
97	RS.CO-03: Information is shared with designated internal and external stakeholders	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Response Reporting and Communication (RS.CO): Response activities are coordinated with internal and external stakeholders as required by laws, regulations, or policies	Ex1:  Securely share information consistent with response plans and information sharing agreements Ex2:  Voluntarily share information about an attacker’s observed TTPs, with all sensitive data removed, with an Information Sharing and Analysis Center (ISAC) Ex3:  Notify HR when malicious insider activity occurs Ex4:  Regularly update senior leadership on the status of major incidents Ex5:  Follow the rules and protocols defined in contracts for incident information sharing between the organization and its suppliers Ex6:  Coordinate crisis communication methods between the organization and its critical suppliers
98	RS.MI-01: Incidents are contained	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Mitigation (RS.MI): Activities are performed to prevent expansion of an event and mitigate its effects	Ex1:  Cybersecurity technologies (e.g., antivirus software) and cybersecurity features of other technologies (e.g., operating systems, network infrastructure devices) automatically perform containment actions Ex2:  Allow incident responders to manually select and perform containment actions Ex3:  Allow a third party (e.g., internet service provider, managed security service provider) to perform containment actions on behalf of the organization Ex4:  Automatically transfer compromised endpoints to a remediation virtual local area network (VLAN)
99	RS.MI-02: Incidents are eradicated	RESPOND (RS): Actions regarding a detected cybersecurity incident are taken	Incident Mitigation (RS.MI): Activities are performed to prevent expansion of an event and mitigate its effects	Ex1:  Cybersecurity technologies and cybersecurity features of other technologies (e.g., operating systems, network infrastructure devices) automatically perform eradication actions Ex2:  Allow incident responders to manually select and perform eradication actions Ex3:  Allow a third party (e.g., managed security service provider) to perform eradication actions on behalf of the organization
100	RC.RP-01: The recovery portion of the incident response plan is executed once initiated from the incident response process	RECOVER (RC): Assets and operations affected by a cybersecurity incident are restored	Incident Recovery Plan Execution (RC.RP): Restoration activities are performed to ensure operational availability of systems and services affected by cybersecurity incidents	Ex1:  Begin recovery procedures during or after incident response processes Ex2:  Make all individuals with recovery responsibilities aware of the plans for recovery and the authorizations required to implement each aspect of the plans
101	RC.RP-02: Recovery actions are selected, scoped, prioritized, and performed	RECOVER (RC): Assets and operations affected by a cybersecurity incident are restored	Incident Recovery Plan Execution (RC.RP): Restoration activities are performed to ensure operational availability of systems and services affected by cybersecurity incidents	Ex1:  Select recovery actions based on the criteria defined in the incident response plan and available resources Ex2:  Change planned recovery actions based on a reassessment of organizational needs and resources
102	RC.RP-03: The integrity of backups and other restoration assets is verified before using them for restoration	RECOVER (RC): Assets and operations affected by a cybersecurity incident are restored	Incident Recovery Plan Execution (RC.RP): Restoration activities are performed to ensure operational availability of systems and services affected by cybersecurity incidents	Ex1:  Check restoration assets for indicators of compromise, file corruption, and other integrity issues before use
103	RC.RP-04: Critical mission functions and cybersecurity risk management are considered to establish post-incident operational norms	RECOVER (RC): Assets and operations affected by a cybersecurity incident are restored	Incident Recovery Plan Execution (RC.RP): Restoration activities are performed to ensure operational availability of systems and services affected by cybersecurity incidents	Ex1:  Use business impact and system categorization records (including service delivery objectives) to validate that essential services are restored in the appropriate order Ex2:  Work with system owners to confirm the successful restoration of systems and the return to normal operations Ex3:  Monitor the performance of restored systems to verify the adequacy of the restoration
104	RC.RP-05: The integrity of restored assets is verified, systems and services are restored, and normal operating status is confirmed	RECOVER (RC): Assets and operations affected by a cybersecurity incident are restored	Incident Recovery Plan Execution (RC.RP): Restoration activities are performed to ensure operational availability of systems and services affected by cybersecurity incidents	Ex1:  Check restored assets for indicators of compromise and remediation of root causes of the incident before production use Ex2:  Verify the correctness and adequacy of the restoration actions taken before putting a restored system online
105	RC.RP-06: The end of incident recovery is declared based on criteria, and incident-related documentation is completed	RECOVER (RC): Assets and operations affected by a cybersecurity incident are restored	Incident Recovery Plan Execution (RC.RP): Restoration activities are performed to ensure operational availability of systems and services affected by cybersecurity incidents	Ex1:  Prepare an after-action report that documents the incident itself, the response and recovery actions taken, and lessons learned Ex2:  Declare the end of incident recovery once the criteria are met
106	RC.CO-03: Recovery activities and progress in restoring operational capabilities are communicated to designated internal and external stakeholders	RECOVER (RC): Assets and operations affected by a cybersecurity incident are restored	Incident Recovery Communication (RC.CO): Restoration activities are coordinated with internal and external parties	Ex1:  Securely share recovery information, including restoration progress, consistent with response plans and information sharing agreements Ex2:  Regularly update senior leadership on recovery status and restoration progress for major incidents Ex3:  Follow the rules and protocols defined in contracts for incident information sharing between the organization and its suppliers Ex4:  Coordinate crisis communication between the organization and its critical suppliers
107	RC.CO-04: Public updates on incident recovery are shared using approved methods and messaging	RECOVER (RC): Assets and operations affected by a cybersecurity incident are restored	Incident Recovery Communication (RC.CO): Restoration activities are coordinated with internal and external parties	Ex1:  Follow the organization’s breach notification procedures for recovering from a data breach incident Ex2:  Explain the steps being taken to recover from the incident and to prevent a recurrence