CIS Critical Security Controls Navigator

Use this page to learn more about the Controls and Safeguards and see how they map to other security standards. Click on a row to see all related, applicable standards.

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Australian Signals Directorate's 'Essential Eight' 
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Application control is a security approach designed to protect against malicious code (also known as malware) executing on systems. When implemented robustly, it ensures only approved applications (e.g. executables, software libraries, scripts, installers, compiled HTML, HTML applications, control panel applets and drivers) can be executed.
Microsoft Office macros are disabled for users that do not have a demonstrated business requirement.
Australian businesses should implement a digital preservation policy that involves daily. backups and controls that prevent backups from unauthorized modifications.
By implementing an additional authentication factor, such as a hardware authentication token, the consequences associated with the theft of passphrases can be greatly reduced.
Once a patch is released by a vendor, the patch should be applied in a timeframe commensurate with an organisation’s exposure to the security vulnerability and the level of cyber threat the organisation is aiming to protect themselves against.
Newer releases of operating systems often introduce improvements in security functionality. This can make it more difficult for an adversary to craft reliable exploits for security vulnerabilities they discover. Using older releases of operating systems, especially those no longer supported by vendors, may expose an organisation to security vulnerabilities or exploitation techniques that have since been mitigated.
Restricting administrative privileges is one of the most effective mitigation strategies in ensuring the security of systems.
Application hardening (also known as application shielding) is the practice of increasing the cyber threat resilience of online applications. This could involve keeping applications updated with the latest patches and implementing specialized security solutions.
Microsoft Cloud Security Benchmark 
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Track asset inventory and their risks
Use only approved services
Ensure security of asset lifecycle management
Limit access to asset management
Use only approved applications in virtual machine
Ensure regular automated backups
Protect backup and recovery data
Monitor backups
Regularly test backup
Discover, classify, and label sensitive data
Monitor anomalies and threats targeting sensitive data
Encrypt sensitive data in transit
Enable data at rest encryption by default
Use customer-managed key option in data at rest encryption when required
Conduct threat modeling
Ensure software supply chain security
Secure DevOps infrastructure
Integrate static application security testing into DevOps pipeline
Integrate dynamic application security testing into DevOps pipeline
Enforce security of workload throughout DevOps lifecycle
Enable logging and monitoring in DevOps
Use Endpoint Detection and Response (EDR)
Use modern anti-malware software
Ensure anti-malware software and signatures are updated
Align organization roles, responsibilities, and accountabilities
Define and implement DevOps security strategy
Define and implement enterprise segmentation/separation of duties strategy
Define and implement data protection strategy
Define and implement network security strategy
Define and implement security posture management strategy
Define and implement identity and privileged access strategy
Define and implement logging, threat detection and incident response strategy
Define and implement backup and recovery strategy
Define and implement endpoint security strategy
Use centralized identity and authentication system
Protect identity and authentication system
Use single sign-on (SSO) for application access
Use strong authentication controls
Restrict resource access based on conditions
Restrict the exposure of credential and secrets
Secure user access to existing applications
Preparation - update incident response plan and handling process
Preparation - setup incident notification
Detection and analysis - create incidents based on high-quality alerts
Detection and analysis - prioritize incidents
Post-incident activity - conduct lesson learned and retain evidence
Enable threat detection capabilities
Enable threat detection for identity and access management
Enable logging for security investigation
Enable network logging for security investigation
Centralize security log management and analysis
Configure log storage retention
Use approved time synchronization sources
Establish network segmentation boundaries
Ensure Domain Name System (DNS) security
Secure cloud services with network controls
Deploy firewall at the edge of enterprise network
Deploy intrusion detection/intrusion prevention systems (IDS/IPS)
Deploy DDOS protection
Deploy web application firewall
Simplify network security configuration
Detect and disable insecure services and protocols
Connect on-premises or cloud network privately
Separate and limit highly privileged/administrative users
Manage identity and access lifecycle
Review and reconcile user access regularly
Use privileged access workstations
Follow just enough administration (least privilege) principle
Choose approval process for third-party support
Define and establish secure configurations
Audit and enforce secure configurations
Define and establish secure configurations for compute resources
Audit and enforce secure configurations for compute resources
Perform vulnerability assessments
Rapidly and automatically remediate vulnerabilities
Conduct regular red team operations
CISA Cross-Sector Cybersecurity Performance Goals 
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Detection of Unsuccessful (Automated) Login Attempts
Changing Default Passwords
Multi-Factor Authentication (MFA)
Minimum Password Strength
Separating User and Privileged Accounts
Revoking Credentials for Departing Employees
Hardware and Software Approval Process
Disable Macros by Default
Asset Inventory
Prohibit Connection of Unauthorized Devices
Document device configurations
Log Collection
Strong and Agile Encryption
Secure Sensitive Data
Basic Cybersecurity Training
OT Cybersecurity Training
Mitigating Known Vulnerabilities
No Exploitable Services on the Internet
Limit OT Connections to Public Internet
Third-party Validation of Cybersecurity Control Effectiveness
Vendor/Supplier Cybersecurity Requirements
Supply Chain Incident Reporting
Supply Chain Vulnerability Disclosure
Incident Reporting
Incident Response (IR) Plans
System Back Ups
Document Network Topology
Network Segmentation
Email Security
CISA Cybersecurity Performance Goals 
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Detection of Unsuccessful (Automated) Login Attempts
Changing Default Passwords
Multi-Factor Authentication (MFA)
Minimum Password Strength
Separating User and Privileged Accounts
Revoking Credentials for Departing Employees
Hardware and Software Approval Process
Disable Macros by Default
Asset Inventory
Prohibit Connection of Unauthorized Devices
Document device configurations
Log Collection
Strong and Agile Encryption
Secure Sensitive Data
Basic Cybersecurity Training
OT Cybersecurity Training
Mitigating Known Vulnerabilities
No Exploitable Services on the Internet
Limit OT Connections to Public Internet
Third-party Validation of Cybersecurity Control Effectiveness
Vendor/Supplier Cybersecurity Requirements
Supply Chain Incident Reporting
Supply Chain Vulnerability Disclosure
Incident Reporting
Incident Response (IR) Plans
System Back Ups
Document Network Topology
Network Segmentation
Email Security
CMMC v2.0 
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Authorized Access Control
Transaction & Function Control
External Connections
Control Public Information
Session Lock
Session Termination
Control Remote Access
Remote Access Confidentiality
Remote Access Routing
Privileged Remote Access
Wireless Access Authorization
Wireless Access Protection
Mobile Device Connection
Encrypt CUI on Mobile
Control CUI Flow
Separation of Duties
Least Privilege
Non-Privileged Account Use
Privileged Functions
Unsuccessful Logon Attempts
Role-Based Risk Awareness
Role-Based Training
Insider Threat Awareness
System Auditing
Audit Correlation
Reduction & Reporting
Authoritative Time Source
Security Control Assessment
Plan of Action
Security Control Monitoring
System Security Plan
System Baselining
Security Configuration Enforcement
System Change Management
Least Functionality
Nonessential Functionality
Application Execution Policy
User-Installed Software
Cryptographically-Protected Passwords
Multifactor Authentication
Identifier Handling
Password Complexity
Incident Handling
Incident Reporting
Incident Response Testing
Nonlocal Maintenance
Media Disposal
Media Protection
Media Access
Portable Storage Encryption
Removable Media
Protect Backups
Vulnerability Scan
Vulnerability Remediation
Boundary Protection
Public-Access System Separation
Key Management
CUI Encryption
Mobile Code
Communications Authenticity
Data at Rest
Security Engineering
Role Separation
Network Communication by Exception
Split Tunneling
Data in Transit
Connections Termination
Flaw Remediation
Malicious Code Protection
Update Malicious Code Protection
System & File Scanning
Security Alerts & Advisories
Monitor Communications for Attacks
Identify Unauthorized Use
Criminal Justice Information Services (CJIS) Security Policy 
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Auditing and Accountability
Information Handling
Outsourcing Standards for Non-Channelers
Monitoring, Review, and Delivery of Services
Managing Changes to Service Providers
Information Flow Enforcement
Boundary Protection
Encryption for CJI in Transit
Encryption for CJI at Rest
Intrusion Detection Tools and Techniques
Cloud Computing
Patch Management
Malicious Code Protection
Spam and Spyware Protection
Security Alerts and Advisories
Audits by the CSA
Personnel Termination
802.11 Wireless Protocols
Cellular Devices
Cellular Service Abroad
Mobile Hotspots
Mobile Device Management (MDM)
Wireless Device Risk Mitigations
System Integrity
Patching/Updates (Mobile)
Malicious Code Protection (Mobile)
Personal Firewall (Mobile)
Incident Response (Mobile)
Access Control
Local Device Authentication
Advanced Authentication
Compensating Controls
Device Certificates
Level One Security Awareness Training
Level Two Security Awareness Training
Level Three Security Awareness Training
Level Four Security Awareness Training
Reporting Security Events
FBI CJIS Division Responsibilities
CSA ISO Responsibilities
Management of Security Incidents
Incident Handling
Collection of Evidence
Incident Response Training
Incident Monitoring
Auditable Events and Content (Information Systems)
Audit Monitoring, Analysis, and Reporting
Time Stamps
Audit Record Retention
Logging NCIC and III Transactions
Account Management
Access Enforcement
Least Privilege
System Access Control
Access Control Criteria
Access Control Mechanisms
Unsuccessful Login Attempts
Session Lock
Remote Access
Personally Owned Information Systems
Publicly Accessible Computers
Identification Policy and Procedures
Authentication Policy and Procedures
Advanced Authentication
Advanced Authentication Policy and Rationale
Identifier Management
Authenticator Management
Access Restrictions for Changes
Least Functionality
Network Diagram
Security of Configuration Documentation
Media Storage and Access
Media Transport
Digital Media during Transport
Digital Media Sanitization and Disposal
CSA Cloud Controls Matrix v4 
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Background Screening Policy and Procedures
Audit and Assurance Policy and Procedures
Independent Assessments
Risk Based Planning Assessment
Requirements Compliance
Audit Management Process
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Application and Interface Security Policy and Procedures
Application Security Baseline Requirements
Application Security Metrics
Secure Application Design and Development
Automated Application Security Testing
Automated Secure Application Deployment
Application Vulnerability Remediation
Business Continuity Management Policy and Procedures
Risk Assessment and Impact Analysis
Business Continuity Strategy
Business Continuity Planning
Business Continuity Exercises
Disaster Response Plan
Response Plan Exercise
Equipment Redundancy
Change Management Policy and Procedures
Quality Testing
Change Management Technology
Unauthorized Change Protection
Change Agreements
Change Management Baseline
Detection of Baseline Deviation
Exception Management
Change Restoration
Encryption and Key Management Policy and Procedures
CEK Roles and Responsibilities
Data Encryption
Encryption Algorithm
Encryption Change Management
Encryption Change Cost Benefit Analysis
Encryption Risk Management
CSC Key Management Capabiility
Encryption and Key Management Audit
Key Generation
Key Purpose
Key Rotation
Key Revocation
Key Destruction
Key Activation
Key Suspension
Key Deactivation
Key Archival
Key Compromise
Key Recovery
Key Inventory Management
Off-Site Equipment Disposal Policy and Procedures
Off-Site Transfer Authorization Policy and Procedures
Secure Area Policy and Procedures
Secure Media Transportation Policy and Procedures
Assets Classification
Assets Cataloguing and Tracking
Controlled Access Points
Equipment Identification
Secure Area Authorization
Surveillance System
Unauthorized Access Response Training
Cabling Security
Environmental Systems
Secure Utilities
Equipment Location
Security and Privacy Policy and Procedures
Secure Disposal
Data Inventory
Data Classification
Data Flow Documentation
Data Ownership and Stewardship
Data Protection by Design and Default
Data Privacy by Design and Default
Data Protection Impact Assessment
Personal Data Access, Reversal, Rectification and Deletion
Limitation of Purpose in Personal Data Processing
Personal Data Sub-processing
Disclosure of Data Sub-processors
Limitation of Production Data Use
Data Retention and Deletion
Sensitive Data Protection
Disclosure Notification
Data Location
Governance Program Policy and Procedures
Risk Management Program
Organizational Policy Reviews
Policy Exception Process
Information Security Program
Governance Responsibility Model
Information System Regulatory Mapping
Special Interest Groups
Acceptable Use of Technology Policy and Procedures
Clean Desk Policy and Procedures
Remote and Home Working Policy and Procedures
Asset returns
Employment Termination
Employment Agreement Process
Employment Agreement Content
Personnel Roles and Responsibilities
Non-Disclosure Agreements
Security Awareness Training
Personal and Sensitive Data Awareness and Training
Compliance User Responsibility
Identity and Access Management Policy and Procedures
Strong Password Policy and Procedures
Identity Inventory
Separation of Duties
Least Privilege
User Access Provisioning
User Access Changes and Revocation
User Access Review
Segregation of Privileged Access Roles
Management of Privileged Access Roles
CSCs Approval for Agreed Privileged Access Roles
Safeguard Logs Integrity
Uniquely Identifiable Users
Strong Authentication
Passwords Management
Authorization Mechanisms
Interoperability and Portability Policy and Procedures
Application Interface Availability
Secure Interoperability and Portability Management
Data Portability Contractual Obligations
Infrastructure and Virtualization Security Policy and Procedures
Capacity and Resource Planning
Network Security
OS Hardening and Base Controls
Production and Non-Production Environments
Segmentation and Segregation
Migration to Cloud Environments
Network Architecture Documentation
Network Defense
Logging and Monitoring Policy and Procedures
Audit Logs Protection
Security Monitoring and Alerting
Audit Logs Access and Accountability
Audit Logs Monitoring and Response
Clock Synchronization
Logging Scope
Log Records
Log Protection
Encryption Monitoring and Reporting
Transaction/Activity Logging
Access Control Logs
Failures and Anomalies Reporting
Security Incident Management Policy and Procedures
Service Management Policy and Procedures
Incident Response Plans
Incident Response Testing
Incident Response Metrics
Event Triage Processes
Security Breach Notification
Points of Contact Maintenance
SSRM Policy and Procedures
SSRM Supply Chain
SSRM Guidance
SSRM Control Ownership
SSRM Documentation Review
SSRM Control Implementation
Supply Chain Inventory
Supply Chain Risk Management
Primary Service and Contractual Agreement
Supply Chain Agreement Review
Internal Compliance Testing
Supply Chain Service Agreement Compliance
Supply Chain Governance Review
Supply Chain Data Security Assessment
Threat and Vulnerability Management Policy and Procedures
Malware Protection Policy and Procedures
Vulnerability Remediation Schedule
Detection Updates
External Library Vulnerabilities
Penetration Testing
Vulnerability Identification
Vulnerability Prioritization
Vulnerability Management Reporting
Vulnerability Management Metrics
Endpoint Devices Policy and Procedures
Endpoint Inventory
Endpoint Management
Automatic Lock Screen
Operating Systems
Storage Encryption
Anti-Malware Detection and Prevention
Software Firewall
Data Loss Prevention
Remote Locate
Remote Wipe
Third-Party Endpoint Security Posture
Cyber Risk Institute (CRI) Profile v1.2 
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The organization identifies, establishes, documents and manages a baseline mapping of network resources, expected connections and data flows.
The organization performs timely collection of relevant data, as well as advanced and automated analysis (including use of security tools such as antivirus, IDS/IPS) on the detected events to: (1) Assess and understand the nature, scope and method of the attack; (2) Predict and block a similar future attack; and (3) Report timely risk metrics.
The organization has a capability to collect, analyze, and correlate events data across the organization in order to predict, analyze, and respond to changes in the operating environment.
The organization deploys tools, as appropriate, to perform real-time central aggregation and correlation of anomalous activities, network and system alerts, and relevant event and cyber threat intelligence from multiple sources, including both internal and external sources, to better detect and prevent multifaceted cyber attacks.
The organization establishes and documents cyber event alert parameters and thresholds as well as rule-based triggers for an automated response within established parameters when known attack patterns, signatures or behaviors are detected.
The organization establishes relevant system logging policies that include the types of logs to be maintained and their retention periods.
The organization implements systematic and real-time logging, monitoring, detecting, and alerting measures across multiple layers of the organization's infrastructure (covering physical perimeters, network, operating systems, applications and data).
The organization deploys an intrusion detection and intrusion prevention capabilities to detect and prevent a potential network intrusion in its early stages for timely containment and recovery.
The organization performs logging and reviewing of the systems activities of privileged users, and monitoring for anomalies is implemented.
The organization conducts periodic cyber attack simulations to detect control gaps in employee behavior, policies, procedures and resources.
The organization implements and manages appropriate tools to detect and block malware from infecting networks and systems.
The organization implements email protection mechanisms to automatically scan, detect, and protect from any attached malware or malicious links present in the email.
The organization authorizes and monitors all third-party connections.
The organization collaborates with third-party service providers to maintain and improve the security of external connections.
The organization implements an explicit approval and logging process and sets up automated alerts to monitor and prevent any unauthorized access to a critical system by a third-party service provider.
The organization implements appropriate controls to prevent use of unsupported and unauthorized software.
The organization has policies, procedures and adequate tools in place to monitor, detect, and block access from/to devices, connections, and data transfers.
The organization sets up automatic and real-time alerts when an unauthorized software, hardware or configuration change occurs.
The organization implements web-filtering tools and technology to block access to inappropriate or malicious websites.
The organization conducts periodic vulnerability scanning, including automated scanning across all environments to identify potential system vulnerabilities, including publicly known vulnerabilities, upgrade opportunities, and new defense layers.
The organization conducts, either by itself or by an independent third-party, periodic penetration testing and red team testing on the organization's network, internet-facing applications or systems, and critical applications to identify gaps in cybersecurity defenses.
The organization has established and assigned roles and responsibilities for systematic monitoring and reporting processes.
The organization establishes a comprehensive testing program to conduct periodic and proactive testing and validation of the effectiveness of the organization's incident detection processes and controls.
The organization has established processes and protocols to communicate, alert and periodically report detected potential cyber attacks and incident information including its corresponding analysis and cyber threat intelligence to internal and external stakeholders.
The organization tests and validates the effectiveness of the incident reporting and communication processes and protocols with internal and external stakeholders.
The organization establishes a systematic and comprehensive program to periodically evaluate and improve the monitoring and detection processes and controls, as well as incorporate the lessons learned, as the threat landscape evolves.
The organization has established policies, plans, and procedures to identify and manage cyber risks associated with external dependencies throughout those dependencies' lifecycles in a timely manner, including sector-critical systems and operations.
The organization's dependency management process identifies third-party relationships that are in place, including those relationships that were established without formal approval.
The organization has established and applies appropriate policies and controls to address the inherent risk of external dependencies to the enterprise and the sector, if appropriate.
The organization conducts a risk assessment to define appropriate controls to address the cyber risk presented by each external partner, implements these controls, and monitors their status throughout the lifecycle of partner relationships.
The organization has a documented third-party termination/exit strategy to include procedures for timely removal of the third-party access when no longer required.
The organization has identified and monitors the organizational ecosystem of external dependencies for assets/systems that are critical to the enterprise and the financial services sector.
The organization maintains a current, accurate, and complete listing of all external dependencies and business functions, including mappings to supported assets and business functions.
The organization has documented minimum cybersecurity requirements for critical third-parties that, at a minimum, meet cybersecurity practices of the organization.
The organization's contracts require third-parties to implement minimum cybersecurity requirements and to maintain those practices for the life of the relationship.
Minimum cybersecurity requirements for third-parties include how the organization will monitor security of its external dependencies to ensure that requirements are continually satisfied.
Minimum cybersecurity requirements for third-parties include consideration of whether the third-party is responsible for the security of the organization's confidential data and of geographic limits on where data can be stored and transmitted.
Minimum cybersecurity requirements for third-parties include how the organization and its suppliers and partners will communicate and coordinate in times of emergency, including: 1) Joint maintenance of contingency plans; 2) Responsibilities for responding to cybersecurity incident; 3) Planning and testing strategies that address severe events in order to identify single points of failure that would cause wide-scale disruption; and 4) Incorporating potential impact of a cyber event into their BCP process and ensure appropriate resilience capabilities are in place.
Minimum cybersecurity requirements for third-parties identify conditions of and the recourse available to the organization should the third-party fail to meet their cybersecurity requirements.
Minimum cybersecurity requirements for third-parties cover the entire relationship lifecycle, including return or destruction of data during cloud or virtualization use and upon relationship termination.
The organization has a formal program for third-party due diligence and monitoring.
The organization conducts regular third-party reviews for critical vendors to validate that appropriate security controls have been implemented.
The organization has incorporated its external dependencies and critical business partners into its cyber resilience (e.g., incident response, business continuity, and disaster recovery) strategy, plans, and exercises.
The cyber risk assessment process is consistent with the organization's policies and procedures and includes criteria for the evaluation and categorization of enterprise-specific cyber risks and threats.
The cyber risk management program addresses identified cyber risks in one of the following ways: risk acceptance, risk mitigation, risk avoidance, or risk transfer, which includes cyber insurance.
The organization has a process for monitoring its cyber risks including escalating those risks that exceed risk tolerance to management.
The organization provides adequate resources to maintain and enhance the cybersecurity situational awareness of senior managers within the organization.
The organization has established, and maintains, a cybersecurity program designed to protect the confidentiality, integrity and availability of its information and operational systems, commensurate with the organization's risk appetite.
The organization implements a repeatable process to develop, collect, store, report, and refresh actionable cybersecurity key performance indicators and metrics.
The organization defines, maintains, and uses technical security standards, architectures, processes or practices (including automated tools when practical) to ensure the security of its applications and infrastructure.
The organization maintains a current and complete asset inventory of physical devices, hardware, and information systems.
The organization maintains a current and complete inventory of software platforms and business applications.
The organization maintains an inventory of internal assets and business functions, that includes mapping to other assets, business functions, and information flows.
The organization maintains a current and complete inventory of types of data being created, stored, or processed by its information assets.
The organization's asset inventory includes maps of network resources, as well as connections with external and mobile resources.
The organization maintains an inventory of external information systems.
The organization implements and maintains a written risk-based policy or policies on data governance and classification, approved by a Senior Officer or the organization's governing body (e.g., the Board or one of its committees).
The organization's resources (e.g., hardware, devices, data, and software) are prioritized for protection based on their sensitivity/classification, criticality, vulnerability, business value, and importance to the organization.
Roles and responsibilities for the entire cybersecurity workforce and directly managed third-party personnel are established, well-defined and aligned with internal roles and responsibilities.
The organization has established threat modeling capabilities to identify how and why critical assets might be compromised by a threat actor, what level of protection is needed for those critical assets, and what the impact would be if that protection failed.
Physical and logical access to systems is permitted only for individuals who have a legitimate business requirement and have been authorized.
Identities and credentials are actively managed or automated for authorized devices and users (e.g., removal of default and factory passwords, revocation of credentials for users who change roles or leave the organization, etc.).
The organization manages and protects physical access to information assets (e.g., session lockout, physical control of server rooms).
Remote access is actively managed and restricted to necessary systems.
The organization implements multi-factor authentication, or at least equally secure access controls for remote access, if it is warranted by applicable risk considerations.
The organization limits access privileges to the minimum necessary.
The organization institutes strong controls over privileged system access by strictly limiting and closely supervising staff with elevated system access entitlements.
The organization institutes controls over service account (i.e., accounts used by systems to access other systems) lifecycles to ensure strict security over creation, use, and termination; access credentials (e.g., no embedded passwords in code); frequent reviews of account ownership; visibility for unauthorized use; and hardening against malicious insider use.
Networks and systems are segmented to maintain appropriate security.
The organization controls access to its wireless networks and the information that these networks process by implementing appropriate mechanisms (e.g., strong authentication for authentication and transmission, preventing unauthorized devices from connecting to the internal networks, restricting unauthorized traffic, and segregating guest wireless networks).
All personnel (full-time or part-time; permanent, temporary or contract) receive periodic cybersecurity awareness training, as permitted by law.
Cybersecurity awareness training includes at a minimum appropriate awareness of and competencies for data protection, detecting and addressing cyber risks, and how to report any unusual activity or incidents.
Cybersecurity awareness training is updated on a regular basis to reflect risks identified by the organization in its risk assessment.
High-risk groups, such as those with privileged system access or in sensitive business functions (including privileged users, senior executives, cybersecurity personnel and third-party stakeholders), receive cybersecurity situational awareness training for their roles and responsibilities.
Cybersecurity personnel receive training appropriate for their roles and responsibilities in cybersecurity, including situational awareness training sufficient to maintain current knowledge of cyber threats and countermeasures.
A mechanism is in place to verify that key cybersecurity personnel maintain current knowledge of changing cyber threats and countermeasures.
Cybersecurity training covers topics designed to minimize risks to or from interconnected parties.
The individuals who fulfill the organization’s physical and cybersecurity objectives (employees or outsourced) have been informed of their roles and responsibilities.
Data-at-rest is protected commensurate with the criticality and sensitivity of the information and in alignment with the data classification and protection policy.
Controls for data-at-rest include, but are not be restricted to, appropriate encryption, authentication and access control.
Data-in-transit is protected commensurate with the criticality and sensitivity of the information and in alignment with the data classification and protection policy.
Controls for data-in-transit include, but are not be restricted to, appropriate encryption, authentication and access control.
The organization has an asset management process in place and assets are formally managed (e.g., in a configuration management database) throughout removal, transfers, end-of-life, and secure disposal or re-use of equipment processes.
The organization implements data loss identification and prevention tools to monitor and protect against confidential data theft or destruction by an employee or an external actor.
The organization's development, testing and acceptance environment(s) are separate from the production environment, and test data is protected and not used in the production environment.
The organization establishes and maintains baseline system security configuration standards to facilitate consistent application of security settings to designated information assets.
The organization establishes policies, procedures and tools, such as policy enforcement, device fingerprinting, patch status, operating system version, level of security controls, etc., to manage personnel's mobile devices before allowing access to the organization's network and resources.
The organization establishes testing programs that include a range of scenarios, including severe but plausible scenarios (e.g., disruptive, destructive, corruptive) that could affect the organization's ability to service clients.
The organization promotes, designs, organizes and manages testing exercises designed to test its response, resumption and recovery plans and processes.
The organization establishes and maintains capabilities for ongoing vulnerability management, including systematic scans or reviews reasonably designed to identify publicly known cyber vulnerabilities in the organization based on the risk assessment.
The organization establishes a process to prioritize and remedy issues identified through vulnerability scanning.
The organization ensures that a process exists and is implemented to identify patches to technology assets, evaluate patch criticality and risk, and test and apply the patch within an appropriate time frame.
The organization implements a process for Secure System Development Lifecycle for in-house software design and development.
The organization implements a process for evaluating (e.g., assessing or testing) externally developed applications.
The organization assesses the cyber risks of software prior to deployment.
The organization designs and tests its systems and processes to enable recovery of accurate data (e.g., material financial transactions) sufficient to support normal operations and obligations following a cybersecurity incident.
The organization conducts and maintains backups of information and periodically conduct tests of backups to business assets (including full system recovery) to achieve cyber resilience.
Data is maintained, stored, retained and destroyed according to the organization's data retention policy.
The organization's business continuity, disaster recovery, crisis management and response plans are in place and managed.
The organization's audit trails are designed to detect cybersecurity events that may materially harm normal operations of the organization.
The organization's activity logs and other security event logs are reviewed and are retained in a secure manner for an appropriate amount of time.
The organization's removable media and mobile devices are protected and use is restricted according to policy.
The organization's systems are configured to provide only essential capabilities to implement the principle of least functionality.
The organization's communications and control networks are protected through applying defense-in-depth principles (e.g., network segmentation, firewalls, physical access controls to network equipment, etc.).
The organization refines its cyber resilience and incident response plans by actively identifying and incorporating crucial lessons learned from: (1) cybersecurity incidents that have occurred within the organization; (2) Cybersecurity assessments and testing performed internally; and (3) Widely reported events, industry reports and cybersecurity incidents that have occurred outside the organization.
Tools and processes are in place to ensure timely detection, alert, and activation of the incident response program.
The organization performs a thorough investigation to determine the nature of a cyber event, its extent, and the damage inflicted.
The organization has the capability to assist in or conduct forensic investigations of cybersecurity incidents and engineer protective and detective controls to facilitate the investigative process.
The organization categorizes and prioritizes cybersecurity incident response consistent with response plans and criticality of systems to the enterprise.
The organization has established enterprise processes to analyze disclosed vulnerabilities with a focus on: (1) Determining its validity; (2) Aassessing its scope (e.g., affected assets); (3) Determining it's severity and impact; (4) Identifying affected stakeholders or customers; and (5) Analyzing options to respond.
The organization has established processes to implement vulnerability mitigation plans, as well as validate their completion and effectiveness.
The organization's incident response plan contains clearly defined roles, responsibilities and levels of decision-making authority.
The organization's personnel know their roles and responsibilities and order of operations when a response is needed.
The organization's incident response plan describes how to appropriately document and report cyber events and related incident response activities.
In the event of a cybersecurity incident, the organization notifies appropriate stakeholders including, as required, government bodies, self-regulatory agencies or any other supervisory bodies.
The organization's incident response program includes effective escalation protocols linked to organizational decision levels and communication strategies, including which types of information will be shared, with whom (e.g., the organization's appropriate governing authority and senior management), and how information provided to the organization will be acted upon.
The organization has a plan to coordinate and communicate with internal and external stakeholders during or following a cyber attack as appropriate.
The results of the testing program are used by the organization to support ongoing improvement of its cyber resilience.
The organization periodically reviews response strategy and exercises and updates them as necessary, based on: (1) Lessons learned from cybersecurity incidents that have occurred (both within and outside the organization); (2) Current cyber threat intelligence (both internal and external sources); (3) Recent and wide-scale cyber attack scenarios; (4) Operationally and technically plausible future cyber attacks; and (5) New technological developments.
The organization contains cybersecurity incidents in a timely manner.
The organization's procedures include containment strategies and notifying potentially impacted third-parties, as appropriate.
The organization mitigates cybersecurity incidents in a timely manner.
Vulnerabilities identified as a result of a cybersecurity incident are mitigated or documented by the organization as accepted risks and monitored.
The organization's response plans are in place and executed during or after an incident.
Federal Financial Institutions Examination Council (FFIEC-CAT) 
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An inventory of organizational assets (e.g., hardware, software, data, and systems hosted externally) is maintained.
Organizational assets (e.g., hardware, systems, data, and applications) are prioritized for protection based on the data classification and business value.
A change management process is in place to request and approve changes to systems configurations, hardware, software, applications, and security tools.
The institution has an information security strategy that integrates technology, policies, procedures, and training to mitigate risk.
The institution has policies commensurate with its risk and complexity that address the concepts of information technology risk management.
The institution has policies commensurate with its risk and complexity that address the concepts of external dependency or third-party management.
The institution has policies commensurate with its risk and complexity that address the concepts of incident response and resilience.
Information security roles and responsibilities have been identified.
Independent audit or review evaluates policies, procedures, and controls across the institution for significant risks and control issues associated with the institution's operations, including risks in new products, emerging technologies, and information systems.
The independent audit function validates controls related to the storage or transmission of confidential data.
Logging practices are independently reviewed periodically to ensure appropriate log management (e.g., access controls, retention, and maintenance).
An information security and business continuity risk management function(s) exists within the institution.
Annual information security training is provided.
Annual information security training includes incident response, current cyber threats (e.g., phishing, spear phishing, social engineering, and mobile security), and emerging issues.
Situational awareness materials are made available to employees when prompted by highly visible cyber events or by regulatory alerts.
Customer awareness materials are readily available (e.g., DHS’ Cybersecurity Awareness Month materials).
Contact information for law enforcement and the regulator(s) is maintained and updated regularly.
Information about threats is shared with law enforcement and regulators when required or prompted.
Audit log records and other security event logs are reviewed and retained in a secure manner.
Computer event logs are used for investigations once an event has occurred.
Threat information is used to enhance internal risk management and controls.
A patch management program is implemented and ensures that software and firmware patches are applied in a timely manner.
Patches are tested before being applied to systems and/or software.
Patch management reports are reviewed and reflect missing security patches.
Issues identified in assessments are prioritized and resolved based on criticality and within the time frames established in the response to the assessment report.
The institution is able to detect anomalous activities through monitoring across the environment.
Logs of physical and/or logical access are reviewed following events.
Access to critical systems by third parties is monitored for unauthorized or unusual activity.
Elevated privileges are monitored.
A normal network activity baseline is established.
Mechanisms (e.g., antivirus alerts, log event alerts) are in place to alert management to potential attacks.
Processes are in place to monitor for the presence of unauthorized users, devices, connections, and software.
Independent testing (including penetration testing and vulnerability scanning) is conducted according to the risk assessment for external-facing systems and the internal network.
Antivirus and anti-malware tools are used to detect attacks.
E-mail protection mechanisms are used to filter for common cyber threats (e.g., attached malware or malicious links).
Employee access is granted to systems and confidential data based on job responsibilities and the principles of least privilege.
Production and non-production environments are segregated to prevent unauthorized access or changes to information assets. (*N/A if no production environment exists at the institution or the institution’s third party.)
All passwords are encrypted in storage and in transit.
Confidential data are encrypted when transmitted across public or untrusted networks (e.g., Internet).
Mobile devices (e.g., laptops, tablets, and removable media) are encrypted if used to store confidential data. (*N/A if mobile devices are not used.)
Remote access to critical systems by employees, contractors, and third parties uses encrypted connections and multifactor authentication.
Administrative, physical, or technical controls are in place to prevent users without administrative responsibilities from installing unauthorized software.
Data is disposed of or destroyed according to documented requirements and within expected time frames.
Employee access to systems and confidential data provides for separation of duties.
Elevated privileges (e.g., administrator privileges) are limited and tightly controlled (e.g., assigned to individuals, not shared, and require stronger password controls).
User access reviews are performed periodically for all systems and applications based on the risk to the application or system.
Changes to physical and logical user access, including those that result from voluntary and involuntary terminations, are submitted to and approved by appropriate personnel.
Identification and authentication are required and managed for access to systems, applications, and hardware.
Access controls include password complexity and limits to password attempts and reuse.
All default passwords and unnecessary default accounts are changed before system implementation.
Customer access to Internet-based products or services requires authentication controls (e.g., layered controls, multifactor) that are commensurate with the risk.
Controls are in place to restrict the use of removable media to authorized personnel.
Network perimeter defense tools (e.g., border router and firewall) are used.
Wireless network environments require security settings with strong encryption for authentication and transmission. (*N/A if there are no wireless networks.)
Systems that are accessed from the Internet or by external parties are protected by firewalls or other similar devices.
All ports are monitored.
Up to date antivirus and anti-malware tools are used.
Systems configurations (for servers, desktops, routers, etc.) follow industry standards and are enforced.
Ports, functions, protocols and services are prohibited if no longer needed for business purposes.
Access to make changes to systems configurations (including virtual machines and hypervisors) is controlled and monitored.
System sessions are locked after a pre-defined period of inactivity and are terminated after pre-defined conditions are met.
Developers working for the institution follow secure program coding practices, as part of a system development life cycle (SDLC), that meet industry standards.
The security controls of internally developed software are periodically reviewed and tested. (*N/A if there is no software development.)
The security controls in internally developed software code are independently reviewed before migrating the code to production. (*N/A if there is no software development.)
The institution ensures that third-party connections are authorized.
A network diagram is in place and identifies all external connections.
Data flow diagrams are in place and document information flow to external parties.
Formal contracts that address relevant security and privacy requirements are in place for all third parties that process, store, or transmit confidential data or provide critical services.
Contracts acknowledge that the third party is responsible for the security of the institution’s confidential data that it possesses, stores, processes, or transmits.
Contracts stipulate that the third-party security controls are regularly reviewed and validated by an independent party.
Contracts identify the recourse available to the institution should the third party fail to meet defined security requirements.
Contracts establish responsibilities for responding to security incidents.
Contracts specify the security requirements for the return or destruction of data upon contract termination.
Risk-based due diligence is performed on prospective third parties before contracts are signed, including reviews of their background, reputation, financial condition, stability, and security controls.
A list of third-party service providers is maintained.
A risk assessment is conducted to identify criticality of service providers.
The third-party risk assessment is updated regularly.
Audits, assessments, and operational performance reports are obtained and reviewed regularly validating security controls for critical third parties.
Ongoing monitoring practices include reviewing critical third-parties’ resilience plans.
Alert parameters are set for detecting information security incidents that prompt mitigating actions.
System performance reports contain information that can be used as a risk indicator to detect information security incidents.
Tools and processes are in place to detect, alert, and trigger the incident response program.
Appropriate steps are taken to contain and control an incident to prevent further unauthorized access to or use of customer information.
A process exists to contact personnel who are responsible for analyzing and responding to an incident.
Procedures exist to notify customers, regulators, and law enforcement as required or necessary when the institution becomes aware of an incident involving the unauthorized access to or use of sensitive customer information.
Incidents are classified, logged, and tracked.
The institution has documented how it will react and respond to cyber incidents.
Communication channels exist to provide employees a means for reporting information security events in a timely manner.
Roles and responsibilities for incident response team members are defined.
The response team includes individuals with a wide range of backgrounds and expertise, from many different areas within the institution (e.g., management, legal, public relations, as well as information technology).
A formal backup and recovery plan exists for all critical business lines.
The institution plans to use business continuity, disaster recovery, and data backup programs to recover operations following an incident.
Scenarios are used to improve incident detection and response.
Business continuity testing