CSF Controls Dashboard

Organizational Context GV.OC

GV.OC-03

Subcategory:
Legal, regulatory, and contractual requirements regarding cybersecurity – including privacy and civil liberties obligations – are understood and managed.

Testing Steps:
Determine if legal, regulatory, and contractual requirements for cybersecurity are understood and managed. Consider the following:

1. Roles and responsibilities for cybersecurity-related legal and compliance functions are defined.
2. Relevant legal and regulatory requirements are mapped to elements of the cybersecurity program (e.g., policies and risk assessments).
3. Any exceptions noted in recent regulatory or compliance audits or exams were addressed by the organization.
4. Contracts are reviewed by legal counsel prior to execution (e.g., with critical third parties, customers, partners).
5. A formal process is in place to monitor and review changes in cybersecurity laws and regulations.
6. A formal process is in place to track and manage cybersecurity contractual requirements.
7. The cybersecurity strategy aligns with legal, regulatory, and contractual requirements.

Nature

Type

Frequency

Opinion Risk Observations

GV.OC-05

Subcategory:
Outcomes, capabilities, and services that the organization depends on are understood and communicated.

Testing Steps:
Determine if outcomes, capabilities, and services the organization depends on are understood and communicated. Consider the following:

1. Key dependencies for critical resources and third parties are identified and documented.
2. Critical third parties are identified by the business continuity plan (BCP) and BIA and are managed in the vendor management program.
3. Methods for mitigating the impact of third-party disruptions (e.g., outages, incidents, failures) are considered in the BCP, incident response plan (IRP), and vendor management program.
4. Appropriate due diligence (e.g., review of BCPs, SLAs, security operations center [SOC] reports, key performance indicators [KPIs]) is performed to ensure the organization's resilience requirements can be met by critical third-party services.

Nature

Type

Frequency

Opinion Risk Observations

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

Risk Management Strategy GV.RM

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

Roles, Responsibilities, and Authorities GV.RR

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

Policy GV.PO

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
GV.PO-01	Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated and enforced.						Add Detail
GV.PO-02	Policy for managing cybersecurity risks is reviewed, updated, communicated, and enforced to reflect changes in requirements, threats, technology, and organizational mission.						Add Detail

Oversight GV.OV

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

Cybersecurity Supply Chain Risk Management GV.SC

CID	Subcategory	Action
GV.SC-01	A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders.	Add Detail
GV.SC-02	Cybersecurity roles and responsibilities for suppliers, customers, and partners are established, communicated, and coordinated internally and externally.	Add Detail
GV.SC-03	Cybersecurity supply chain risk management is integrated into cybersecurity and enterprise risk management, risk assessment, and improvement processes.	Add Detail
GV.SC-04	Suppliers are known and prioritized by criticality.	Add Detail
GV.SC-05	Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and agreements.	Add Detail
GV.SC-06	Planning and due diligence are performed before entering supplier relationships.	Add Detail
GV.SC-07	Supplier risks are understood, recorded, prioritized, assessed, responded to, and monitored.	Add Detail
GV.SC-08	Suppliers are included in incident planning, response, and recovery activities.	Add Detail
GV.SC-09	Supply chain security practices are integrated into cybersecurity and enterprise risk management programs.	Add Detail
GV.SC-10	Supply chain risk management includes post-termination activities.	Add Detail

Asset Management ID.AM

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

Risk Assessment ID.RA

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

Improvement ID.IM

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

Identity Management, Authentication, and Access Control PR.AA

PR.AA-06

Subcategory:
Physical access to assets is managed, monitored, and enforced commensurate with risk.

Testing Steps:
Determine if physical access to assets is managed, monitored, and enforced commensurate with risk. Consider the following:

1. Physical access controls (e.g., locked doors, surveillance equipment, alarm systems, and security guards) are implemented.
2. Access is limited to authorized personnel.
3. Physical access restrictions are implemented based on least privilege, with heightened restrictions for sensitive areas (e.g., data centers, security operations centers [SOCs], network operations centers [NOCs], or server rooms).
4. Security practices are in place for visitors, vendors, and guests commensurate with the sensitivity of the areas they are visiting (e.g., sign-in, escort, badges, or surveillance).
5. Termination procedures include the removal of physical access.

Nature

Type

Frequency

Opinion Risk Observations

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

Awareness and Training PR.AT

PR.AT-01

Subcategory:
Personnel are provided awareness and training so they possess the knowledge and skills to perform general tasks with security risks in mind.

Testing Steps:
Determine if personnel are provided with awareness training so they possess the knowledge and skills to operate with security risk in mind. Consider the following:

1. All new personnel receive cybersecurity awareness training.
2. Training material focuses on relevant cybersecurity concepts (e.g., reporting suspicious activity, basic cyberhygiene tasks, consequences of noncompliance).
3. Formal cybersecurity training is performed at least annually.
4. Informal cybersecurity training is provided on a regular basis to promote awareness and a culture of security.
5. Users receive periodic social engineering tests to assess their understanding of basic cybersecurity practices.

Nature

Type

Frequency

Opinion Risk Observations

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
PR.AT-01	Personnel are provided awareness and training so they possess the knowledge and skills to perform general tasks with security risks in mind.						Add Detail
PR.AT-02	Individuals in specialized roles are provided awareness and training so they possess the knowledge and skills to perform relevant tasks with security risks in mind.						Add Detail

Data Security PR.DS

CID	Subcategory	Action
PR.DS-01	The confidentiality, integrity, and availability of data-at-rest are protected.	Add Detail
PR.DS-02	The confidentiality, integrity, and availability of data-in-transit are protected.	Add Detail
PR.DS-10	The confidentiality, integrity, and availability of data-in-use are protected.	Add Detail
PR.DS-11	Backups of data are created, protected, maintained, and tested.	Add Detail

Platform Security PR.PS

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

Technology Infrastructure Resilience PR.IR

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

Continuous Monitoring DE.CM

DE.CM-01

Subcategory:
Networks and network services are monitored to find potentially adverse events.

Testing Steps:
Determine if networks and network services are monitored to detect potentially adverse events. Consider the following:

1. A documented network monitoring policy and procedures exist.
2. All network services (e.g., DNS and BGP) are monitored.
3. Wired and wireless networks require authentication and are monitored for connections from authorized and unauthorized endpoints.
4. All facilities are monitored for unauthorized or rogue wireless networks (e.g., physical facility inspections and network discovery tools).
5. System performance baselines are established (e.g., response times, memory usage, network latency, and error rates).
6. Logs and alerts are configured to notify appropriate personnel of potentially adverse events. Logs to consider include operating system logs, service logs, application logs, network device logs, access control logs, etc.
7. Network configurations are monitored to identify potentially unauthorized changes.

Nature

Type

Frequency

Opinion Risk Observations

DE.CM-02

Subcategory:
The physical environment is monitored to find potentially adverse events.

Testing Steps:
Determine if the physical environment is monitored to detect potentially adverse events. Consider the following:

1. Documented policies and procedures exist to secure physical access (e.g., physical security, access control, authentication).
2. Physical access control system logs (e.g., keypad systems, biometrics systems, token-based systems, and alarms) are monitored for unusual activity (e.g., unusual access patterns and failed access attempts).
3. Physical access logs are regularly reviewed (e.g., visitor registration and sign-in sheets).
4. Physical access controls (e.g., locks, latches, hinge pins, alarms, fences, turnstiles, and video surveillance recordings) appear normal and do not show signs of tampering.
5. Training materials and records show all employees receive training on how to identify and report suspected unauthorized physical access attempts (e.g., impersonation, tailgating, lock picking, and forced entry).

Nature

Type

Frequency

Opinion Risk Observations

DE.CM-03

Subcategory:
Personnel activity and technology usage are monitored to find potentially adverse events.

Testing Steps:
Determine if personnel activity and technology usage are monitored to find potentially adverse events. Consider the following:

1. Documented policies and procedures exist to secure technical access (e.g., access control and authentication).
2. All personnel are required to consent to monitoring (e.g., acceptable use policy and logon banner).
3. Monitoring parameters are clearly defined (i.e., what is and is not monitored).
4. The creation of new user accounts is monitored.
5. Monitoring mechanisms (e.g., behavioral analytics software, user activity monitoring software, endpoint detection and response [EDR] systems) are used to detect anomalous user activity.
6. Access control logs are configured and monitored for unusual activity (e.g., unusual access patterns and failed access attempts).
7. Deception technology (e.g., honeypots and fake accounts) is monitored for any usage.

Nature

Type

Frequency

Opinion Risk Observations

DE.CM-09

Subcategory:
Computing hardware, software, runtime environments, and their data are monitored to find potentially adverse events.

Testing Steps:
Determine if computing hardware and software, runtime environments, and their data are monitored to find potentially adverse events. Consider the following:

1. Documented policies and procedures exist to secure systems and data from adverse events.
2. Application monitoring is performed (e.g., email, web, file sharing, and collaboration services).
3. Security systems are implemented and configured to detect malware, phishing, data leaks and exfiltration (e.g., antimalware software, email security systems, data loss prevention [DLP] systems, and endpoint detection and response [EDR] systems).
4. Authentication attempts are monitored to identify unusual activity (e.g., unusual access patterns and failed access attempts).
5. Hardware, software, and system baselines are established and monitored for deviations (e.g., misconfigurations, missing patches, malware infections, and shadow IT) or signs of tampering.

Nature

Type

Frequency

Opinion Risk Observations

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

Adverse Event Analysis DE.AE

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

Incident Management RS.MA

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

Incident Analysis RS.AN

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

Incident Response Reporting and Communication RS.CO

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
RS.CO-02	Internal and external stakeholders are notified of incidents.						Add Detail
RS.CO-03	Information is shared with designated internal and external stakeholders.						Add Detail

Incident Mitigation RS.MI

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
RS.MI-01	Incidents are contained.						Add Detail
RS.MI-02	Incidents are eradicated.						Add Detail

Incident Recovery Plan Execution RC.RP

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

Incident Recovery Communication RC.CO

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
RC.CO-03	Recovery activities and progress in restoring operational capabilities are communicated to designated internal and external stakeholders.						Add Detail
RC.CO-04	Public updates on incident recovery are shared using approved methods and messaging.						Add Detail