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	Nature	Type	Frequency	Opinion	Risk	Action
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 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.

Risk Management Strategy GV.RM

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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.

Roles, Responsibilities, and Authorities GV.RR

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	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.
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 cybersecurity risk strategy, roles and responsibilities, and policies.
GV.RR-04	Cybersecurity is included in human resources practices.

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.
GV.PO-02	Policy for managing cybersecurity risks is reviewed, updated, communicated, and enforced to reflect changes in requirements, threats, technology, and organizational mission.

Oversight GV.OV

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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.

Cybersecurity Supply Chain Risk Management GV.SC

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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 agreements.
GV.SC-06	Planning and due diligence are performed before entering supplier relationships.
GV.SC-07	Supplier risks are understood, recorded, prioritized, assessed, responded to, and monitored.
GV.SC-08	Suppliers 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.
GV.SC-10	Supply chain risk management includes post-termination activities.

Asset Management ID.AM

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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 authorized network communication and 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.

Risk Assessment ID.RA

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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 from the available options, 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.

Improvement ID.IM

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
ID.IM-01	Improvements are identified from continuous evaluation.
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.

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	Nature	Type	Frequency	Opinion	Risk	Action
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.

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.
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.

Data Security PR.DS

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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.

Platform Security PR.PS

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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.

Technology Infrastructure Resilience PR.IR

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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.

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	Nature	Type	Frequency	Opinion	Risk	Action
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, software, runtime environments, and their data are monitored to find potentially adverse events.

Adverse Event Analysis DE.AE

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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 contextual information are integrated into analysis.
DE.AE-08	Incidents are declared when adverse events meet criteria.

Incident Management RS.MA

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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.

Incident Analysis RS.AN

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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.

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.
RS.CO-03	Information is shared with designated internal and external stakeholders.

Incident Mitigation RS.MI

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

Incident Recovery Plan Execution RC.RP

CID	Subcategory	Nature	Type	Frequency	Opinion	Risk	Action
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.

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.
RC.CO-04	Public updates on incident recovery are shared using approved methods and messaging.