Compliance Framework Crosswalk

DETECT → Adverse Event Analysis

• DE.AE-02 — Potentially adverse events are analyzed to better understand associated activities
• DE.AE-03 — Information is correlated from multiple sources
• DE.AE-04 — The estimated impact and scope of adverse events are understood
• DE.AE-06 — Information on adverse events is provided to authorized staff and tools
• DE.AE-07 — Cyber threat intelligence and other contextual information are integrated into the analysis
• DE.AE-08 — Incidents are declared when adverse events meet the defined incident criteria

DETECT → Continuous Monitoring

• DE.CM-01 — Networks and network services are monitored to find potentially adverse events
• DE.CM-02 — The physical environment is monitored to find potentially adverse events
• DE.CM-03 — Personnel activity and technology usage are monitored to find potentially adverse events
• DE.CM-06 — External service provider activities and services are monitored to find potentially adverse events
• DE.CM-09 — Computing hardware and software, runtime environments, and their data are monitored to find potentially adverse events

GOVERN → Organizational Context

• GV.OC-01 — The organizational mission is understood and informs cybersecurity risk management
• GV.OC-02 — Internal and external stakeholders are understood, and their needs and expectations regarding cybersecurity risk management are understood and considered
• GV.OC-03 — Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and managed
• GV.OC-04 — Critical objectives, capabilities, and services that external stakeholders depend on or expect from the organization are understood and communicated
• GV.OC-05 — Outcomes, capabilities, and services that the organization depends on are understood and communicated

GOVERN → Oversight

• GV.OV-01 — Cybersecurity risk management strategy outcomes are reviewed to inform and adjust strategy and direction
• GV.OV-02 — The cybersecurity risk management strategy is reviewed and adjusted to ensure coverage of organizational requirements and risks
• GV.OV-03 — Organizational cybersecurity risk management performance is evaluated and reviewed for adjustments needed

GOVERN → Policy

• GV.PO-01 — Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated and enforced
• 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 → Risk Management Strategy

• GV.RM-01 — Risk management objectives are established and agreed to by organizational stakeholders
• GV.RM-02 — Risk appetite and risk tolerance statements are established, communicated, and maintained
• GV.RM-03 — Cybersecurity risk management activities and outcomes are included in enterprise risk management processes
• GV.RM-04 — Strategic direction that describes appropriate risk response options is established and communicated
• GV.RM-05 — Lines of communication across the organization are established for cybersecurity risks, including risks from suppliers and other third parties
• GV.RM-06 — A standardized method for calculating, documenting, categorizing, and prioritizing cybersecurity risks is established and communicated
• GV.RM-07 — Strategic opportunities (i.e., positive risks) are characterized and are included in organizational cybersecurity risk discussions

GOVERN → Roles, Responsibilities, and Authorities

• GV.RR-01 — Organizational leadership is responsible and accountable for cybersecurity risk and fosters a culture that is risk-aware, ethical, and continually improving
• GV.RR-02 — Roles, responsibilities, and authorities related to cybersecurity risk management are established, communicated, understood, and enforced
• GV.RR-03 — Adequate resources are allocated commensurate with the cybersecurity risk strategy, roles, responsibilities, and policies
• GV.RR-04 — Cybersecurity is included in human resources practices

GOVERN → Cybersecurity Supply Chain Risk Management

• GV.SC-01 — A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders
• GV.SC-02 — Cybersecurity roles and responsibilities for suppliers, customers, and partners are established, communicated, and coordinated internally and externally
• GV.SC-03 — Cybersecurity supply chain risk management is integrated into cybersecurity and enterprise risk management, risk assessment, and improvement processes
• GV.SC-04 — Suppliers are known and prioritized by criticality
• 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
• GV.SC-06 — Planning and due diligence are performed to reduce risks before entering into formal supplier or other third-party relationships
• 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
• GV.SC-08 — Relevant suppliers and other third parties are included in incident planning, response, and recovery activities
• 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
• GV.SC-10 — Cybersecurity supply chain risk management plans include provisions for activities that occur after the conclusion of a partnership or service agreement

IDENTIFY → Asset Management

• ID.AM-01 — Inventories of hardware managed by the organization are maintained
• ID.AM-02 — Inventories of software, services, and systems managed by the organization are maintained
• ID.AM-03 — Representations of the organization's authorized network communication and internal and external network data flows are maintained
• ID.AM-04 — Inventories of services provided by suppliers are maintained
• ID.AM-05 — Assets are prioritized based on classification, criticality, resources, and impact on the mission
• ID.AM-07 — Inventories of data and corresponding metadata for designated data types are maintained
• ID.AM-08 — Systems, hardware, software, services, and data are managed throughout their life cycles

IDENTIFY → Improvement

• ID.IM-01 — Improvements are identified from evaluations
• ID.IM-02 — Improvements are identified from security tests and exercises, including those done in coordination with suppliers and relevant third parties
• ID.IM-03 — Improvements are identified from execution of operational processes, procedures, and activities
• ID.IM-04 — Incident response plans and other cybersecurity plans that affect operations are established, communicated, maintained, and improved

IDENTIFY → Risk Assessment

• ID.RA-01 — Vulnerabilities in assets are identified, validated, and recorded
• ID.RA-02 — Cyber threat intelligence is received from information sharing forums and sources
• ID.RA-03 — Internal and external threats to the organization are identified and recorded
• ID.RA-04 — Potential impacts and likelihoods of threats exploiting vulnerabilities are identified and recorded
• ID.RA-05 — Threats, vulnerabilities, likelihoods, and impacts are used to understand inherent risk and inform risk response prioritization
• ID.RA-06 — Risk responses are chosen, prioritized, planned, tracked, and communicated
• ID.RA-07 — Changes and exceptions are managed, assessed for risk impact, recorded, and tracked
• ID.RA-08 — Processes for receiving, analyzing, and responding to vulnerability disclosures are established
• ID.RA-09 — The authenticity and integrity of hardware and software are assessed prior to acquisition and use
• ID.RA-10 — Critical suppliers are assessed prior to acquisition

PROTECT → Identity Management, Authentication, and Access Control

• PR.AA-01 — Identities and credentials for authorized users, services, and hardware are managed by the organization
• PR.AA-02 — Identities are proofed and bound to credentials based on the context of interactions
• PR.AA-03 — Users, services, and hardware are authenticated
• PR.AA-04 — Identity assertions are protected, conveyed, and verified
• 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
• PR.AA-06 — Physical access to assets is managed, monitored, and enforced commensurate with risk

PROTECT → Awareness and Training

• 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
• 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 → Data Security

• PR.DS-01 — The confidentiality, integrity, and availability of data-at-rest are protected
• PR.DS-02 — The confidentiality, integrity, and availability of data-in-transit are protected
• PR.DS-10 — The confidentiality, integrity, and availability of data-in-use are protected
• PR.DS-11 — Backups of data are created, protected, maintained, and tested

PROTECT → Technology Infrastructure Resilience

• PR.IR-01 — Networks and environments are protected from unauthorized logical access and usage
• PR.IR-02 — The organization's technology assets are protected from environmental threats
• PR.IR-03 — Mechanisms are implemented to achieve resilience requirements in normal and adverse situations
• PR.IR-04 — Adequate resource capacity to ensure availability is maintained

PROTECT → Platform Security

• PR.PS-01 — Configuration management practices are established and applied
• PR.PS-02 — Software is maintained, replaced, and removed commensurate with risk
• PR.PS-03 — Hardware is maintained, replaced, and removed commensurate with risk
• PR.PS-04 — Log records are generated and made available for continuous monitoring
• PR.PS-05 — Installation and execution of unauthorized software are prevented
• PR.PS-06 — Secure software development practices are integrated, and their performance is monitored throughout the software development life cycle

RECOVER → Incident Recovery Communication

• RC.CO-03 — Recovery activities and progress in restoring operational capabilities are communicated to designated internal and external stakeholders
• RC.CO-04 — Public updates on incident recovery are shared using approved methods and messaging

RECOVER → Incident Recovery Plan Execution

• RC.RP-01 — The recovery portion of the incident response plan is executed once initiated from the incident response process
• RC.RP-02 — Recovery actions are selected, scoped, prioritized, and performed
• RC.RP-03 — The integrity of backups and other restoration assets is verified before using them for restoration
• RC.RP-04 — Critical mission functions and cybersecurity risk management are considered to establish post-incident operational norms
• RC.RP-05 — The integrity of restored assets is verified, systems and services are restored, and normal operating status is confirmed
• RC.RP-06 — The end of incident recovery is declared based on criteria, and incident-related documentation is completed

RESPOND → Incident Analysis

• RS.AN-03 — Analysis is performed to establish what has taken place during an incident and the root cause of the incident
• RS.AN-06 — Actions performed during an investigation are recorded, and the records' integrity and provenance are preserved
• RS.AN-07 — Incident data and metadata are collected, and their integrity and provenance are preserved
• RS.AN-08 — An incident's magnitude is estimated and validated

RESPOND → Incident Response Reporting and Communication

• RS.CO-02 — Internal and external stakeholders are notified of incidents
• RS.CO-03 — Information is shared with designated internal and external stakeholders

RESPOND → Incident Management

• RS.MA-01 — The incident response plan is executed in coordination with relevant third parties once an incident is declared
• RS.MA-02 — Incident reports are triaged and validated
• RS.MA-03 — Incidents are categorized and prioritized
• RS.MA-04 — Incidents are escalated or elevated as needed
• RS.MA-05 — The criteria for initiating incident recovery are applied

RESPOND → Incident Mitigation

• RS.MI-01 — Incidents are contained
• RS.MI-02 — Incidents are eradicated

5. Organizational controls

• 5.1 — Policies for information security
• 5.2 — Information security roles and responsibilities
• 5.3 — Segregation of duties
• 5.4 — Management responsibilities
• 5.5 — Contact with authorities
• 5.6 — Contact with special interest groups
• 5.7 — Threat intelligence
• 5.8 — Information security in project management
• 5.9 — Inventory of information and other associated assets
• 5.10 — Acceptable use of information and other associated assets
• 5.11 — Return of assets
• 5.12 — Classification of information
• 5.13 — Labelling of information
• 5.14 — Information transfer
• 5.15 — Access control
• 5.16 — Identity management
• 5.17 — Authentication information
• 5.18 — Access rights
• 5.19 — Information security in supplier relationships
• 5.20 — Addressing information security within supplier agreements
• 5.21 — Managing information security in the information and communication technology (ICT) supply chain
• 5.22 — Monitoring, review and change management of supplier services
• 5.23 — Information security for use of cloud services
• 5.24 — Information security incident management planning and preparation
• 5.25 — Assessment and decision on information security events
• 5.26 — Response to information security incidents
• 5.27 — Learning from information security incidents
• 5.28 — Collection of evidence
• 5.29 — Information security during disruption
• 5.30 — ICT readiness for business continuity
• 5.31 — Legal, statutory, regulatory and contractual requirements
• 5.32 — Intellectual property rights
• 5.33 — Protection of records
• 5.34 — Privacy and protection of personal identifiable information (PII)
• 5.35 — Independent review of information security
• 5.36 — Compliance with policies, rules and standards for information security
• 5.37 — Documented operating procedures

6. People controls

• 6.1 — Screening
• 6.2 — Terms and conditions of employment
• 6.3 — Information security awareness, education and training
• 6.4 — Disciplinary process
• 6.5 — Responsibilities after termination or change of employment
• 6.6 — Confidentiality or non-disclosure agreements
• 6.7 — Remote working
• 6.8 — Information security event reporting

7. Physical controls

• 7.1 — Physical security perimeters
• 7.2 — Physical entry
• 7.3 — Securing offices, rooms and facilities
• 7.4 — Physical security monitoring
• 7.5 — Protecting against physical and environmental threats
• 7.6 — Working in secure areas
• 7.7 — Clear desk and clear screen
• 7.8 — Equipment siting and protection
• 7.9 — Security of assets off-premises
• 7.10 — Storage media
• 7.11 — Supporting utilities
• 7.12 — Cabling security
• 7.13 — Equipment maintenance
• 7.14 — Secure disposal or re-use of equipment

8. Technological controls

• 8.1 — User end point devices
• 8.2 — Privileged access rights
• 8.3 — Information access restriction
• 8.4 — Access to source code
• 8.5 — Secure authentication
• 8.6 — Capacity management
• 8.7 — Protection against malware
• 8.8 — Management of technical vulnerabilities
• 8.9 — Configuration management
• 8.10 — Information deletion
• 8.11 — Data masking
• 8.12 — Data leakage prevention
• 8.13 — Information backup
• 8.14 — Redundancy of information processing facilities
• 8.15 — Logging
• 8.16 — Monitoring activities
• 8.17 — Clock synchronization
• 8.18 — Use of privileged utility programs
• 8.19 — Installation of software on operational systems
• 8.20 — Networks security
• 8.21 — Security of network services
• 8.22 — Segregation of networks
• 8.23 — Web filtering
• 8.24 — Use of cryptography
• 8.25 — Secure development life cycle
• 8.26 — Application security requirements
• 8.27 — Secure system architecture and engineering principles
• 8.28 — Secure coding
• 8.29 — Security testing in development and acceptance
• 8.30 — Outsourced development
• 8.31 — Separation of development, test and production environments
• 8.32 — Change management
• 8.33 — Test information
• 8.34 — Protection of information systems during audit testing

Build and Maintain a Secure Network and Systems

• 1 — Install and Maintain Network Security Controls
• 2 — Apply Secure Configurations to All System Components

Protect Account Data

• 3 — Protect Stored Account Data
• 4 — Protect Cardholder Data with Strong Cryptography During Transmission Over Open, Public Networks

Maintain a Vulnerability Management Program

• 5 — Protect All Systems and Networks from Malicious Software
• 6 — Develop and Maintain Secure Systems and Software

Implement Strong Access Control Measures

• 7 — Restrict Access to System Components and Cardholder Data by Business Need to Know
• 8 — Identify Users and Authenticate Access to System Components
• 9 — Restrict Physical Access to Cardholder Data

Regularly Monitor and Test Networks

• 10 — Log and Monitor All Access to System Components and Cardholder Data
• 11 — Test Security of Systems and Networks Regularly

Maintain an Information Security Policy

• 12 — Support Information Security with Organizational Policies and Programs

§164.308 — Administrative Safeguards

• 164.308(a)(1) — Security management process

§164.308 — Administrative Safeguards → Security management process

• 164.308(a)(1)(ii)(A) (Required) — Risk analysis
• 164.308(a)(1)(ii)(B) (Required) — Risk management
• 164.308(a)(1)(ii)(C) (Required) — Sanction policy
• 164.308(a)(1)(ii)(D) (Required) — Information system activity review

§164.308 — Administrative Safeguards

• 164.308(a)(2) — Assigned security responsibility
• 164.308(a)(3) — Workforce security

§164.308 — Administrative Safeguards → Workforce security

• 164.308(a)(3)(ii)(A) (Addressable) — Authorization and/or supervision
• 164.308(a)(3)(ii)(B) (Addressable) — Workforce clearance procedure
• 164.308(a)(3)(ii)(C) (Addressable) — Termination procedures

§164.308 — Administrative Safeguards

• 164.308(a)(4) — Information access management

§164.308 — Administrative Safeguards → Information access management

• 164.308(a)(4)(ii)(A) (Required) — Isolating health care clearinghouse functions
• 164.308(a)(4)(ii)(B) (Addressable) — Access authorization
• 164.308(a)(4)(ii)(C) (Addressable) — Access establishment and modification

§164.308 — Administrative Safeguards

• 164.308(a)(5) — Security awareness and training

§164.308 — Administrative Safeguards → Security awareness and training

• 164.308(a)(5)(ii)(A) (Addressable) — Security reminders
• 164.308(a)(5)(ii)(B) (Addressable) — Protection from malicious software
• 164.308(a)(5)(ii)(C) (Addressable) — Log-in monitoring
• 164.308(a)(5)(ii)(D) (Addressable) — Password management

§164.308 — Administrative Safeguards

• 164.308(a)(6) — Security incident procedures

§164.308 — Administrative Safeguards → Security incident procedures

• 164.308(a)(6)(ii) (Required) — Response and reporting

§164.308 — Administrative Safeguards

• 164.308(a)(7) — Contingency plan

§164.308 — Administrative Safeguards → Contingency plan

• 164.308(a)(7)(ii)(A) (Required) — Data backup plan
• 164.308(a)(7)(ii)(B) (Required) — Disaster recovery plan
• 164.308(a)(7)(ii)(C) (Required) — Emergency mode operation plan
• 164.308(a)(7)(ii)(D) (Addressable) — Testing and revision procedures
• 164.308(a)(7)(ii)(E) (Addressable) — Applications and data criticality analysis

§164.308 — Administrative Safeguards

• 164.308(a)(8) — Evaluation
• 164.308(b)(1) — Business associate contracts and other arrangements

§164.308 — Administrative Safeguards → Business associate contracts and other arrangements

• 164.308(b)(3) (Required) — Written contract or other arrangement

§164.310 — Physical Safeguards

• 164.310(a)(1) — Facility access controls

§164.310 — Physical Safeguards → Facility access controls

• 164.310(a)(2)(i) (Addressable) — Contingency operations
• 164.310(a)(2)(ii) (Addressable) — Facility security plan
• 164.310(a)(2)(iii) (Addressable) — Access control and validation procedures
• 164.310(a)(2)(iv) (Addressable) — Maintenance records

§164.310 — Physical Safeguards

• 164.310(b) — Workstation use
• 164.310(c) — Workstation security
• 164.310(d)(1) — Device and media controls

§164.310 — Physical Safeguards → Device and media controls

• 164.310(d)(2)(i) (Required) — Disposal
• 164.310(d)(2)(ii) (Required) — Media re-use
• 164.310(d)(2)(iii) (Addressable) — Accountability
• 164.310(d)(2)(iv) (Addressable) — Data backup and storage

§164.312 — Technical Safeguards

• 164.312(a)(1) — Access control

§164.312 — Technical Safeguards → Access control

• 164.312(a)(2)(i) (Required) — Unique user identification
• 164.312(a)(2)(ii) (Required) — Emergency access procedure
• 164.312(a)(2)(iii) (Addressable) — Automatic logoff
• 164.312(a)(2)(iv) (Addressable) — Encryption and decryption

§164.312 — Technical Safeguards

• 164.312(b) — Audit controls
• 164.312(c)(1) — Integrity

§164.312 — Technical Safeguards → Integrity

• 164.312(c)(2) (Addressable) — Mechanism to authenticate ePHI

§164.312 — Technical Safeguards

• 164.312(d) — Person or entity authentication
• 164.312(e)(1) — Transmission security

§164.312 — Technical Safeguards → Transmission security

• 164.312(e)(2)(i) (Addressable) — Integrity controls
• 164.312(e)(2)(ii) (Addressable) — Encryption

§164.314 — Organizational Requirements

• 164.314(a)(1) — Business associate contracts or other arrangements

§164.314 — Organizational Requirements → Business associate contracts or other arrangements

• 164.314(a)(2)(i) (Required) — Business associate contracts
• 164.314(a)(2)(ii) (n/a) — Other arrangements
• 164.314(a)(2)(iii) (n/a) — Business associate contracts with subcontractors

§164.314 — Organizational Requirements

• 164.314(b)(1) — Requirements for group health plans

§164.314 — Organizational Requirements → Requirements for group health plans

• 164.314(b)(2) (Required) — Plan document must provide plan sponsor safeguards

§164.316 — Policies, Procedures, and Documentation Requirements

• 164.316(a) — Policies and procedures
• 164.316(b)(1) — Documentation

§164.316 — Policies, Procedures, and Documentation Requirements → Documentation

• 164.316(b)(2)(i) (Required) — Time limit (6 years from creation or last effective date)
• 164.316(b)(2)(ii) (Required) — Availability
• 164.316(b)(2)(iii) (Required) — Updates

Common Criteria

• CC1.1 — Commitment to integrity and ethical values
• CC1.2 — Board independence and oversight of internal control
• CC1.3 — Management establishes structure, authority, and reporting lines
• CC1.4 — Commitment to competence (attracting, developing, retaining staff)
• CC1.5 — Holds individuals accountable for internal control responsibilities
• CC2.1 — Obtains or generates relevant, quality information to support internal control
• CC2.2 — Internally communicates information necessary to support internal control
• CC2.3 — Communicates with external parties regarding matters affecting internal control
• CC3.1 — Specifies objectives clearly enough to enable identification and assessment of risk
• CC3.2 — Identifies and analyzes risk to the achievement of objectives
• CC3.3 — Considers the potential for fraud in assessing risk
• CC3.4 — Identifies and assesses changes that could significantly impact the system of controls
• CC4.1 — Selects, develops, and performs ongoing and/or separate evaluations of controls
• CC4.2 — Evaluates and communicates control deficiencies in a timely manner
• CC5.1 — Selects and develops control activities that mitigate risk to acceptable levels
• CC5.2 — Selects and develops general control activities over technology
• CC5.3 — Deploys control activities through policies and procedures
• CC6.1 — Implements logical access security software, infrastructure, and architectures over protected information assets
• CC6.2 — Registers and authorizes new internal/external users prior to granting access; removes access when no longer required
• CC6.3 — Authorizes, modifies, or removes access based on roles/responsibilities and the concept of least privilege
• CC6.4 — Restricts physical access to facilities and protected information assets
• CC6.5 — Discontinues logical and physical protections over information assets only after they are no longer required
• CC6.6 — Implements logical access security measures to protect against threats from outside system boundaries
• CC6.7 — Restricts the transmission, movement, and removal of information
• CC6.8 — Implements controls to prevent or detect and act upon the introduction of unauthorized or malicious software
• CC7.1 — Uses detection and monitoring procedures to identify changes that could introduce new vulnerabilities
• CC7.2 — Monitors system components and the operation of controls to detect anomalies indicative of security events
• CC7.3 — Evaluates security events to determine whether they could or did result in a security incident
• CC7.4 — Responds to identified security incidents via a defined incident-response program
• CC7.5 — Identifies, develops, and implements activities to recover from identified security incidents
• CC8.1 — Authorizes, designs, develops/acquires, tests, approves, and implements changes to infrastructure, data, software, and procedures
• CC9.1 — Identifies, selects, and develops risk mitigation activities for risks arising from potential business disruptions
• CC9.2 — Assesses and manages risks associated with vendors and business partners

Access Control

• 3.1.1 — Limit system access to authorized users, processes acting on behalf of authorized users, and devices (including other systems).
• 3.1.2 — Limit system access to the types of transactions and functions that authorized users are permitted to execute.
• 3.1.3 — Control the flow of CUI in accordance with approved authorizations.
• 3.1.4 — Separate the duties of individuals to reduce the risk of malevolent activity without collusion.
• 3.1.5 — Employ the principle of least privilege, including for specific security functions and privileged accounts.
• 3.1.6 — Use non-privileged accounts or roles when accessing nonsecurity functions.
• 3.1.7 — Prevent non-privileged users from executing privileged functions and capture the execution of such functions in audit logs.
• 3.1.8 — Limit unsuccessful logon attempts.
• 3.1.9 — Provide privacy and security notices consistent with applicable CUI rules.
• 3.1.10 — Use session lock with pattern-hiding displays to prevent access and viewing of data after a period of inactivity.
• 3.1.11 — Terminate (automatically) a user session after a defined condition.
• 3.1.12 — Monitor and control remote access sessions.
• 3.1.13 — Employ cryptographic mechanisms to protect the confidentiality of remote access sessions.
• 3.1.14 — Route remote access via managed access control points.
• 3.1.15 — Authorize remote execution of privileged commands and remote access to security-relevant information.
• 3.1.16 — Authorize wireless access prior to allowing such connections.
• 3.1.17 — Protect wireless access using authentication and encryption.
• 3.1.18 — Control connection of mobile devices.
• 3.1.19 — Encrypt CUI on mobile devices and mobile computing platforms.
• 3.1.20 — Verify and control/limit connections to and use of external systems.
• 3.1.21 — Limit use of portable storage devices on external systems.
• 3.1.22 — Control CUI posted or processed on publicly accessible systems.

Awareness and Training

• 3.2.1 — Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems.
• 3.2.2 — Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities.
• 3.2.3 — Provide security awareness training on recognizing and reporting potential indicators of insider threat.

Audit and Accountability

• 3.3.1 — Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity.
• 3.3.2 — Ensure that the actions of individual system users can be uniquely traced to those users, so they can be held accountable for their actions.
• 3.3.3 — Review and update logged events.
• 3.3.4 — Alert in the event of an audit logging process failure.
• 3.3.5 — Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity.
• 3.3.6 — Provide audit record reduction and report generation to support on-demand analysis and reporting.
• 3.3.7 — Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records.
• 3.3.8 — Protect audit information and audit logging tools from unauthorized access, modification, and deletion.
• 3.3.9 — Limit management of audit logging functionality to a subset of privileged users.

Configuration Management

• 3.4.1 — Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.
• 3.4.2 — Establish and enforce security configuration settings for information technology products employed in organizational systems.
• 3.4.3 — Track, review, approve or disapprove, and log changes to organizational systems.
• 3.4.4 — Analyze the security impact of changes prior to implementation.
• 3.4.5 — Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.
• 3.4.6 — Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities.
• 3.4.7 — Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services.
• 3.4.8 — Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software.
• 3.4.9 — Control and monitor user-installed software.

Identification and Authentication

• 3.5.1 — Identify system users, processes acting on behalf of users, and devices.
• 3.5.2 — Authenticate (or verify) the identities of users, processes, or devices, as a prerequisite to allowing access to organizational systems.
• 3.5.3 — Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts.
• 3.5.4 — Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts.
• 3.5.5 — Prevent reuse of identifiers for a defined period.
• 3.5.6 — Disable identifiers after a defined period of inactivity.
• 3.5.7 — Enforce a minimum password complexity and change of characters when new passwords are created.
• 3.5.8 — Prohibit password reuse for a specified number of generations.
• 3.5.9 — Allow temporary password use for system logons with an immediate change to a permanent password.
• 3.5.10 — Store and transmit only cryptographically-protected passwords.
• 3.5.11 — Obscure feedback of authentication information.

Incident Response

• 3.6.1 — Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities.
• 3.6.2 — Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization.
• 3.6.3 — Test the organizational incident response capability.

Maintenance

• 3.7.1 — Perform maintenance on organizational systems.
• 3.7.2 — Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.
• 3.7.3 — Ensure equipment removed for off-site maintenance is sanitized of any CUI.
• 3.7.4 — Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems.
• 3.7.5 — Require multifactor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete.
• 3.7.6 — Supervise the maintenance activities of maintenance personnel without required access authorization.

Media Protection

• 3.8.1 — Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital.
• 3.8.2 — Limit access to CUI on system media to authorized users.
• 3.8.3 — Sanitize or destroy system media containing CUI before disposal or release for reuse.
• 3.8.4 — Mark media with necessary CUI markings and distribution limitations.
• 3.8.5 — Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas.
• 3.8.6 — Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards.
• 3.8.7 — Control the use of removable media on system components.
• 3.8.8 — Prohibit the use of portable storage devices when such devices have no identifiable owner.
• 3.8.9 — Protect the confidentiality of backup CUI at storage locations.

Personnel Security

• 3.9.1 — Screen individuals prior to authorizing access to organizational systems containing CUI.
• 3.9.2 — Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers.

Physical Protection

• 3.10.1 — Limit physical access to organizational systems, equipment, and the respective operating environments to authorized individuals.
• 3.10.2 — Protect and monitor the physical facility and support infrastructure for organizational systems.
• 3.10.3 — Escort visitors and monitor visitor activity.
• 3.10.4 — Maintain audit logs of physical access.
• 3.10.5 — Control and manage physical access devices.
• 3.10.6 — Enforce safeguarding measures for CUI at alternate work sites.

Risk Assessment

• 3.11.1 — Periodically assess the risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals, resulting from the operation of organizational systems and the associated processing, storage, or transmission of CUI.
• 3.11.2 — Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified.
• 3.11.3 — Remediate vulnerabilities in accordance with risk assessments.

Security Assessment

• 3.12.1 — Periodically assess the security controls in organizational systems to determine if the controls are effective in their application.
• 3.12.2 — Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems.
• 3.12.3 — Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls.
• 3.12.4 — Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems.

System and Communications Protection

• 3.13.1 — Monitor, control, and protect communications (i.e., information transmitted or received by organizational systems) at the external boundaries and key internal boundaries of organizational systems.
• 3.13.2 — Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems.
• 3.13.3 — Separate user functionality from system management functionality.
• 3.13.4 — Prevent unauthorized and unintended information transfer via shared system resources.
• 3.13.5 — Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.
• 3.13.6 — Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception).
• 3.13.7 — Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks (i.e., split tunneling).
• 3.13.8 — Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards.
• 3.13.9 — Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity.
• 3.13.10 — Establish and manage cryptographic keys for cryptography employed in organizational systems.
• 3.13.11 — Employ FIPS-validated cryptography when used to protect the confidentiality of CUI.
• 3.13.12 — Prohibit remote activation of collaborative computing devices and provide indication of devices in use to users present at the device.
• 3.13.13 — Control and monitor the use of mobile code.
• 3.13.14 — Control and monitor the use of Voice over Internet Protocol (VoIP) technologies.
• 3.13.15 — Protect the authenticity of communications sessions.
• 3.13.16 — Protect the confidentiality of CUI at rest.

System and Information Integrity

• 3.14.1 — Identify, report, and correct system flaws in a timely manner.
• 3.14.2 — Provide protection from malicious code at designated locations within organizational systems.
• 3.14.3 — Monitor system security alerts and advisories and take action in response.
• 3.14.4 — Update malicious code protection mechanisms when new releases are available.
• 3.14.5 — Perform periodic scans of organizational systems and real-time scans of files from external sources as files are downloaded, opened, or executed.
• 3.14.6 — Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks.
• 3.14.7 — Identify unauthorized use of organizational systems.

Control 1 — Inventory and Control of Enterprise Assets

• 1.1 — Establish and Maintain Detailed Enterprise Asset Inventory
• 1.2 — Address Unauthorized Assets
• 1.3 — Utilize an Active Discovery Tool
• 1.4 — Use Dynamic Host Configuration Protocol (DHCP) Logging to Update Enterprise Asset Inventory
• 1.5 — Use a Passive Asset Discovery Tool

Control 2 — Inventory and Control of Software Assets

• 2.1 — Establish and Maintain a Software Inventory
• 2.2 — Ensure Authorized Software is Currently Supported
• 2.3 — Address Unauthorized Software
• 2.4 — Utilize Automated Software Inventory Tools
• 2.5 — Allowlist Authorized Software
• 2.6 — Allowlist Authorized Libraries
• 2.7 — Allowlist Authorized Scripts

Control 3 — Data Protection

• 3.1 — Establish and Maintain a Data Management Process
• 3.2 — Establish and Maintain a Data Inventory
• 3.3 — Configure Data Access Control Lists
• 3.4 — Enforce Data Retention
• 3.5 — Securely Dispose of Data
• 3.6 — Encrypt Data on End-User Devices
• 3.7 — Establish and Maintain a Data Classification Scheme
• 3.8 — Document Data Flows
• 3.9 — Encrypt Data on Removable Media
• 3.10 — Encrypt Sensitive Data in Transit
• 3.11 — Encrypt Sensitive Data at Rest
• 3.12 — Segment Data Processing and Storage Based on Sensitivity
• 3.13 — Deploy a Data Loss Prevention Solution
• 3.14 — Log Sensitive Data Access

Control 4 — Secure Configuration of Enterprise Assets and Software

• 4.1 — Establish and Maintain a Secure Configuration Process
• 4.2 — Establish and Maintain a Secure Configuration Process for Network Infrastructure
• 4.3 — Configure Automatic Session Locking on Enterprise Assets
• 4.4 — Implement and Manage a Firewall on Servers
• 4.5 — Implement and Manage a Firewall on End-User Devices
• 4.6 — Securely Manage Enterprise Assets and Software
• 4.7 — Manage Default Accounts on Enterprise Assets and Software
• 4.8 — Uninstall or Disable Unnecessary Services on Enterprise Assets and Software
• 4.9 — Configure Trusted DNS Servers on Enterprise Assets
• 4.10 — Enforce Automatic Device Lockout on Portable End-User Devices
• 4.11 — Enforce Remote Wipe Capability on Portable End- User Devices
• 4.12 — Separate Enterprise Workspaces on Mobile End- User Devices

Control 5 — Account Management

• 5.1 — Establish and Maintain an Inventory of Accounts
• 5.2 — Use Unique Passwords
• 5.3 — Disable Dormant Accounts
• 5.4 — Restrict Administrator Privileges to Dedicated Administrator Accounts
• 5.5 — Establish and Maintain an Inventory of Service Accounts
• 5.6 — Centralize Account Management

Control 6 — Access Control Management

• 6.1 — Establish an Access Granting Process
• 6.2 — Establish an Access Revoking Process
• 6.3 — Require MFA for Externally- Exposed Applications
• 6.4 — Require MFA for Remote Network Access
• 6.5 — Require MFA for Administrative Access
• 6.6 — Establish and Maintain an Inventory of Authentication and Authorization Systems
• 6.7 — Centralize Access Control
• 6.8 — Define and Maintain Role- Based Access Control

Control 7 — Continuous Vulnerability Management

• 7.1 — Establish and Maintain a Vulnerability Management Process
• 7.2 — Establish and Maintain a Remediation Process
• 7.3 — Perform Automated Operating System Patch Management
• 7.4 — Perform Automated Application Patch Management
• 7.5 — Perform Automated Vulnerability Scans of Internal Enterprise Assets
• 7.6 — Perform Automated Vulnerability Scans of Externally-Exposed Enterprise Assets
• 7.7 — Remediate Detected Vulnerabilities

Control 8 — Audit Log Management

• 8.1 — Establish and Maintain an Audit Log Management Process
• 8.2 — Collect Audit Logs
• 8.3 — Ensure Adequate Audit Log Storage
• 8.4 — Standardize Time Synchronization
• 8.5 — Collect Detailed Audit Logs
• 8.6 — Collect DNS Query Audit Logs
• 8.7 — Collect URL Request Audit Logs
• 8.8 — Collect Command-Line Audit Logs
• 8.9 — Centralize Audit Logs
• 8.10 — Retain Audit Logs
• 8.11 — Conduct Audit Log Reviews
• 8.12 — Collect Service Provider Logs

Control 9 — Email and Web Browser Protections

• 9.1 — Ensure Use of Only Fully Supported Browsers and Email Clients
• 9.2 — Use DNS Filtering Services
• 9.3 — Maintain and Enforce Network- Based URL Filters
• 9.4 — Restrict Unnecessary or Unauthorized Browser and Email Client Extensions
• 9.5 — Implement DMARC
• 9.6 — Block Unnecessary File Types
• 9.7 — Deploy and Maintain Email Server Anti-Malware Protections

Control 10 — Malware Defenses

• 10.1 — Deploy and Maintain Anti- Malware Software
• 10.2 — Configure Automatic Anti- Malware Signature Updates
• 10.3 — Disable Autorun and Autoplay for Removable Media
• 10.4 — Configure Automatic Anti- Malware Scanning of Removable Media
• 10.5 — Enable Anti-Exploitation Features
• 10.6 — Centrally Manage Anti- Malware Software
• 10.7 — Use Behavior-Based Anti- Malware Software

Control 11 — Data Recovery

• 11.1 — Establish and Maintain a Data Recovery Process
• 11.2 — Perform Automated Backups
• 11.3 — Protect Recovery Data
• 11.4 — Establish and Maintain an Isolated Instance of Recovery Data
• 11.5 — Test Data Recovery

Control 12 — Network Infrastructure Management

• 12.1 — Ensure Network Infrastructure is Up-to-Date
• 12.2 — Establish and Maintain a Secure Network Architecture
• 12.3 — Securely Manage Network Infrastructure
• 12.4 — Establish and Maintain Architecture Diagram(s)
• 12.5 — Centralize Network Authentication, Authorization, and Auditing (AAA)
• 12.6 — Use of Secure Network Management and Communication Protocols
• 12.7 — Ensure Remote Devices Utilize a VPN and are Connecting to an Enterprise’s AAA Infrastructure
• 12.8 — Establish and Maintain Dedicated Computing Resources for All Administrative Work

Control 13 — Network Monitoring and Defense

• 13.1 — Centralize Security Event Alerting
• 13.2 — Deploy a Host-Based Intrusion Detection Solution
• 13.3 — Deploy a Network Intrusion Detection Solution
• 13.4 — Perform Traffic Filtering Between Network Segments
• 13.5 — Manage Access Control for Remote Assets
• 13.6 — Collect Network Traffic Flow Logs
• 13.7 — Deploy a Host-Based Intrusion Prevention Solution
• 13.8 — Deploy a Network Intrusion Prevention Solution
• 13.9 — Deploy Port-Level Access Control
• 13.10 — Perform Application Layer Filtering
• 13.11 — Tune Security Event Alerting Thresholds

Control 14 — Security Awareness and Skills Training

• 14.1 — Establish and Maintain a Security Awareness Program
• 14.2 — Train Workforce Members to Recognize Social Engineering Attacks
• 14.3 — Train Workforce Members on Authentication Best Practices
• 14.4 — Train Workforce on Data Handling Best Practices
• 14.5 — Train Workforce Members on Causes of Unintentional Data Exposure
• 14.6 — Train Workforce Members on Recognizing and Reporting Security Incidents
• 14.7 — Train Workforce on How to Identify and Report if Their Enterprise Assets are Missing Security Updates
• 14.8 — Train Workforce on the Dangers of Connecting to and Transmitting Enterprise Data Over Insecure Networks
• 14.9 — Conduct Role-Specific Security Awareness and Skills Training

Control 15 — Service Provider Management

• 15.1 — Establish and Maintain an Inventory of Service Providers
• 15.2 — Establish and Maintain a Service Provider Management Policy
• 15.3 — Classify Service Providers
• 15.4 — Ensure Service Provider Contracts Include Security Requirements
• 15.5 — Assess Service Providers
• 15.6 — Monitor Service Providers
• 15.7 — Securely Decommission Service Providers

Control 16 — Application Software Security

• 16.1 — Establish and Maintain a Secure Application Development Process
• 16.2 — Establish and Maintain a Process to Accept and Address Software Vulnerabilities
• 16.3 — Perform Root Cause Analysis on Security Vulnerabilities
• 16.4 — Establish and Manage an Inventory of Third-Party Software Components
• 16.5 — Use Up-to-Date and Trusted Third-Party Software Components
• 16.6 — Establish and Maintain a Severity Rating System and Process for Application Vulnerabilities
• 16.7 — Use Standard Hardening Configuration Templates for Application Infrastructure
• 16.8 — Separate Production and Non- Production Systems
• 16.9 — Train Developers in Application Security Concepts and Secure Coding
• 16.10 — Apply Secure Design Principles in Application Architectures
• 16.11 — Leverage Vetted Modules or Services for Application Security Components
• 16.12 — Implement Code-Level Security Checks
• 16.13 — Conduct Application Penetration Testing
• 16.14 — Conduct Threat Modeling

Control 17 — Incident Response Management

• 17.1 — Designate Personnel to Manage Incident Handling
• 17.2 — Establish and Maintain Contact Information for Reporting Security Incidents
• 17.3 — Establish and Maintain an Enterprise Process for Reporting Incidents
• 17.4 — Establish and Maintain an Incident Response Process
• 17.5 — Assign Key Roles and Responsibilities
• 17.6 — Define Mechanisms for Communicating During Incident Response
• 17.7 — Conduct Routine Incident Response Exercises
• 17.8 — Conduct Post-Incident Reviews
• 17.9 — Establish and Maintain Security Incident Thresholds

Control 18 — Penetration Testing

• 18.1 — Establish and Maintain a Penetration Testing Program
• 18.2 — Perform Periodic External Penetration Tests
• 18.3 — Remediate Penetration Test Findings
• 18.4 — Validate Security Measures
• 18.5 — Perform Periodic Internal Penetration Tests