+Configuration Management
---+Configuration Management Policy
---+Configuration Management Program
---+Least Functionality
------+Baseline Tailoring
------+Development & Test Environment Configurations
---+Secure Baseline Configurations
------+Account Lockout
------+Concurrent Session Control
------+Session Lock
------+Pattern-Hiding Displays
------+Session Termination
------+User-Initiated Logouts / Message Displays
------+Non-Console Administrative Access
------+Wireless Access Authentication & Encryption
------+Bluetooth & Wireless Devices
------+Infrared Communications
------+Microphones & Web Cameras
------+Multi-Function Devices (MFD)
------+Radio Frequency Identification (RFID) Security
------+Contactless Access Control Systems
------+Thin Nodes
------+Video Teleconference (VTC) Security
------+Voice Over Internet Protocol (VoIP) Security
------+Disable Wireless Networking
---+Configure Technology Assets, Applications and/or Services (TAAS) for High-Risk Areas
------+Physically Disable or Remove Capabilities
---+Approved Configuration Deviations
---+Baseline Configuration Reviews & Updates
------+Automated Baseline Configuration Management & Verification
---+Periodic Configuration Reviews
------+Respond To Unauthorized Changes
------+Integrity Assurance & Enforcement (IAE)
---+Retention Of Previous Configurations
---+Network Device Configuration File Synchronization
---+Software Usage Restrictions
---+Restrict Roles Permitted To Install Software
------+Configuration Management Role Assignment
---+Open Source Software
---+Prevent Unauthorized Software Execution
------+Explicitly Allow / Deny Applications
---+Unsupported Internet Browsers & Email Clients
---+Zero-Touch Provisioning (ZTP)
---+Production Software Repository
------+Third-Party Libraries
------+Software Repository Protections
------+Software Development Repository
---+Embedded Sensor Capability
------+Embedded Sensor Data Use Restrictions
------+Notice of Embedded Sensor Data Collection
------+Embedded Sensor Data Collection Minimization
------+Embedded Sensor Configuration Verification
---+Refresh from Trusted Sources
---+Hypervisor Access
---+Restrict Access To Security Functions
---+Host-Based Security Function Isolation
---+Control Assurance Automation (CAA) Change Control
---+Control Assurance Automation (CAA) Unauthorized Change Detection
---+Control Assurance Automation (CAA) Separation of Duties
|
Configuration Management
Security, Compliance & Resilience (SCR) PrinciplesEstablish and enforce secure configuration baselines that implement least privilege and least functionality for Technology Assets, Applications and Services (TAAS) to support a defensible secure configuration posture.
Principle IntentOrganizations establish, maintain, monitor and enforce secure configurations aligned with vendor recommendations and industry-recognized secure practices to preserve system integrity and prevent unauthorized or unintended functionality.
1. Panoramica
| Titolo |
Standard |
|
Configuration Management Policy
|
Description
Mechanisms exist to establish a formal, documented configuration management policy that:
(1) Conveys executive management's intent;
(2) Provides organizational direction and expected behaviors;
(3) Is reviewed at least annually; and
(4) Is updated, as necessary, to adapt to evolving risks, threats and other changes that affect the organization.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Executive-approved written policy with documented annual review
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Executive-approved written policy with documented annual review
∙ Policy acknowledgement tracking (e.g., HR onboarding records)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.) for policy lifecycle management
∙ Documented annual policy review with version control
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ GRC solution (e.g., SCFConnect, Cyturus, SureCloud, SimpleRisk, Ignyte, ZenGRC, Galvanize, MetricStream, Archer, etc.) for policy lifecycle management
∙ Policy governance committee with formal annual review and approval workflow
∙ Automated policy attestation and acknowledgement tracking
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Steering committee
∙ ComplianceForge - Security, Compliance & Resilience Program (SCRP) (https://complianceforge.com)
∙ Enterprise GRC platform (e.g., Cyturus, Archer, MetricStream, ServiceNow IRM) for policy lifecycle management
∙ Automated policy attestation, exception tracking and change history
∙ Annual executive approval and board-level reporting
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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|
Configuration Management Program
|
Description
Mechanisms exist to facilitate the implementation of configuration management controls.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Configuration Management (CM) program
∙ Change control program
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Configuration Management (CM) program
∙ Change control program
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Configuration Management (CM) program
∙ Change control program
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Configuration Management (CM) program
∙ Change control program
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Configuration Management (CM) program
∙ Change control program
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to facilitate the implementation of configuration management controls.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Least Functionality
|
Description
Mechanisms exist to configure Technology Assets, Applications and/or Services (TAAS) to provide only essential capabilities by specifically prohibiting or restricting the use of ports, protocols, and/or services.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
▪ The restrictiveness of the SBCs are commensurate with the criticality of the TAAS and/or sensitivity of the data being protected, in accordance with applicable laws, regulations and frameworks.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to configure systems to provide only essential capabilities by specifically prohibiting or restricting the use of ports, protocols, and/or services.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
|
|
Secure Baseline Configurations
|
Description
Mechanisms exist to develop, document and maintain secure baseline configurations for Technology Assets, Applications and/or Services (TAAS) that are consistent with industry-accepted hardening standards.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
▪ The restrictiveness of the SBCs are commensurate with the criticality of the TAAS and/or sensitivity of the data being protected, in accordance with applicable laws, regulations and frameworks.
▪ Tailored SBC are created for higher-risk operating environments and/or for TAAS that store, process or transmit sensitive/regulated data.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to develop, document and maintain secure baseline configurations for Technology Assets, Applications and/or Services (TAAS) that are consistent with industry-accepted system hardening standards.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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|
Configure Technology Assets, Applications and/or Services (TAAS) for High-Risk Areas
|
Description
Mechanisms exist to configure Technology Assets, Applications and/or Services (TAAS) utilized in high-risk areas with more restrictive secure baseline configurations.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
∙ Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs)
∙ Center for Internet Security (CIS) Benchmarks
∙ Original Equipment Manufacturer (OEM) security guides
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
▪ The restrictiveness of the SBCs are commensurate with the criticality of the TAAS and/or sensitivity of the data being protected, in accordance with applicable laws, regulations and frameworks.
▪ Tailored SBC are created for higher-risk operating environments and/or for TAAS that store, process or transmit sensitive/regulated data.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to configure Technology Assets, Applications and/or Services (TAAS) utilized in high-risk areas with more restrictive baseline configurations.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Approved Configuration Deviations
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Description
Mechanisms exist to document, assess and approve or deny deviations to secure baseline configurations.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Manual exception management process
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Manual exception management process
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Manual exception management process
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
∙ Netwrix Auditor (https://netrix.com)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
▪ Any deviations from approved baseline configurations are reviewed, approved and documented on a case-by-case basis by IT and/or cybersecurity personnel.
▪ Deviations to baseline configurations are required to have a risk assessment and the business process owner's acceptance of the risk(s) associated with the deviation.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to document, assess risk and approve or deny deviations to standardized configurations.
Level 4 Quantitatively Controlled
Asset Management (AST) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Baseline Configuration Reviews & Updates
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Description
Mechanisms exist to review and update secure baseline configurations:
(1) At least annually;
(2) When required due to so; or
(3) As part of system component installations and upgrades.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Configuration Management (CM) program
∙ Change control program
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Configuration Management (CM) program
∙ Change control program
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Configuration Management (CM) program
∙ Change control program
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Configuration Management (CM) program
∙ Change control program
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Configuration Management (CM) program
∙ Change control program
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
▪ IT and/or cybersecurity personnel perform an annual review of existing configurations to ensure security objectives are still being met.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to review and update baseline configurations:
(1) At least annually;
(2) When required due to so; or
(3) As part of system component installations and upgrades.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Periodic Configuration Reviews
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Description
Mechanisms exist to periodically review Technology Assets, Applications and/or Services (TAAS) configurations to identify and disable unnecessary and/or non-secure functions, ports, protocols and services.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Configuration Management (CM) program
∙ Change control program
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Configuration Management (CM) program
∙ Change control program
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Configuration Management (CM) program
∙ Change control program
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Configuration Management (CM) program
∙ Change control program
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Configuration Management (CM) program
∙ Change control program
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations are reviewed only when new operating systems or versions of applications are released.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to periodically review system configurations to identify and disable unnecessary and/or non-secure functions, ports, protocols and services.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Retention Of Previous Configurations
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Description
Mechanisms exist to retain previous versions of secure baseline configuration to support roll back.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Document baseline configurations for key systems
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Configuration baseline documentation
∙ CIS Benchmark hardening guides
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Configuration management program
∙ Automated baseline assessment (e.g., CIS-CAT)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise CMDB
∙ Automated configuration compliance scanning
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise configuration management platform (e.g., Ansible, Puppet)
∙ CMDB
∙ Drift detection and remediation
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
▪ Historical versions of configurations are maintained for troubleshooting and forensics purposes.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to retain previous versions of baseline configuration to support roll back.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Network Device Configuration File Synchronization
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Description
Mechanisms exist to configure network devices to synchronize startup and running configuration files.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Document baseline configurations for key systems
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Configuration baseline documentation
∙ CIS Benchmark hardening guides
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Configuration management program
∙ Automated baseline assessment (e.g., CIS-CAT)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise CMDB
∙ Automated configuration compliance scanning
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise configuration management platform (e.g., Ansible, Puppet)
∙ CMDB
∙ Drift detection and remediation
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to configure network devices to synchronize startup and running configuration files.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Software Usage Restrictions
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Description
Mechanisms exist to enforce software usage restrictions to comply with applicable contract agreements and copyright laws.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to enforce software usage restrictions to comply with applicable contract agreements and copyright laws.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Restrict Roles Permitted To Install Software
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Description
Automated mechanisms exist to prevent the installation of software, unless the action is performed by a privileged user or service.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to configure systems to prevent the installation of software, unless the action is performed by a privileged user or service.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Open Source Software
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Description
Mechanisms exist to establish parameters for the secure use of open source software.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to establish parameters for the secure use of open source software.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Prevent Unauthorized Software Execution
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Description
Automated mechanisms exist to prevent the execution of unauthorized software programs.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ whitelisting / blacklisting applications
∙ Microsoft Windows Defender Application Control (WDAC)
∙ CimTrak Integrity Suite (https://cimcor.com/cimtrak)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 2 Planned Tracked
Secure Engineering & Architecture (SEA) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with SEA domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with SEA domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with SEA domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Secure engineering and architecture-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Secure engineering and architecture management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel define entity-specific secure engineering practices to protect the Confidentiality, Integrity, Availability and Safety (CIAS) of the entity's TAASD.
▪ IT and/or cybersecurity personnel align secure engineering practices with the entity's broader IT architecture practices.
▪ IT and/or cybersecurity personnel use secure engineering practices to influence Secure Baseline Configurations (SBC).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to automatically prevent the execution of unauthorized software programs.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Unsupported Internet Browsers & Email Clients
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Description
Mechanisms exist to allow only approved Internet browsers and email clients to run on systems.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Secure Baseline Configurations (SBC) are used to configure Technology Assets, Applications and/or Services (TAAS) according to the principles of least functionality and least privilege, mostly conforming to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to allow only approved Internet browsers and email clients to run on systems.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.
▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions via Artificial Intelligence (AI) or Machine Learning (ML) technologies.
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Zero-Touch Provisioning (ZTP)
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Description
Mechanisms exist to implement Zero-Touch Provisioning (ZTP), or similar technology, to automatically and securely configure devices upon being added to a network.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
SCR-CMM Level 2 criteria definitions are not available for this control:
▪ A reasonable person would conclude a well-defined and standardized process is required.
▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization.
▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to implement Zero-Touch Provisioning (ZTP), or similar technology, to automatically and securely configure devices upon being added to a network.
Level 4 Quantitatively Controlled
Configuration Management (CFG) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Production Software Repository
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Description
Mechanisms exist to maintain an authoritative repository for production software.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Version control system with protected production branch (e.g., GitHub, GitLab).
∙ Designated production branch with access controls
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Version control with protected production branches.
∙ Access restrictions on production branch
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Artifact repository manager (e.g., JFrog Artifactory, Nexus)
∙ Version-controlled production software with access restrictions
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Enterprise artifact repository (e.g., JFrog Artifactory, Nexus)
∙ Access controls on production repository
∙ Immutable artifact storage
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise artifact repository (e.g., JFrog Artifactory)
∙ Software Bill of Materials (SBOM) generation
∙ Immutable artifact storage with digital signing
∙ Integration with CI/CD pipeline
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to maintain an authoritative repository for production software.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Embedded Sensor Capability
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Description
Mechanisms exist to configure embedded sensors on systems to:
(1) Prohibit the remote activation of sensing capabilities; and
(2) Provide an explicit indication of sensor use to users.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
∙ Configuration Management (CM) program
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
∙ Configuration Management (CM) program
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
∙ Configuration Management (CM) program
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
∙ Configuration Management (CM) program
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
∙ Configuration Management (CM) program
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Endpoint Security (END) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with END domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Endpoint security management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Endpoint Security (END) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with END domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with END domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with END domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Endpoint security-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Endpoint security management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to configure embedded sensors on systems to:
(1) Prohibit the remote activation of sensing capabilities; and
(2) Provide an explicit indication of sensor use to users.
Level 4 Quantitatively Controlled
Endpoint Security (END) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Refresh from Trusted Sources
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Description
Mechanisms exist to ensure that software and data needed for system component and service refreshes are obtained from trusted sources.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Download software/updates only from vendor official sites; verify hashes
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Approved software sources list
∙ Hash/signature verification for downloads
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Trusted repository/mirror for software and updates (e.g., WSUS, internal package repositories)
∙ Signature verification enforced
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Trusted artifact repositories (e.g., Artifactory, Nexus) with provenance checks
∙ Vendor authenticity verification
∙ Software supply chain policy
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise software supply chain program (trusted repositories, signed packages, SBOM/provenance verification, SLSA)
∙ Blocking of untrusted sources
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Secure Engineering & Architecture (SEA) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with SEA domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Security engineering-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IT and/or cybersecurity personnel use an informal process to design, build and maintain secure, compliant and resilient solutions.
Level 2 Planned Tracked
Secure Engineering & Architecture (SEA) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with SEA domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with SEA domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with SEA domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Secure engineering and architecture-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Secure engineering and architecture management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT and/or cybersecurity personnel define entity-specific secure engineering practices to protect the Confidentiality, Integrity, Availability and Safety (CIAS) of the entity's TAASD.
▪ IT and/or cybersecurity personnel align secure engineering practices with the entity's broader IT architecture practices.
▪ IT and/or cybersecurity personnel use secure engineering practices to influence Secure Baseline Configurations (SBC).
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to ensure that software and data needed for system component and service refreshes are obtained from trusted sources.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Hypervisor Access
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Description
Mechanisms exist to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Privileged Account Management (PAM)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Endpoint Security (END) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with END domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Endpoint security management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Endpoint Security (END) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with END domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with END domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with END domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Endpoint security-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Endpoint security management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Restrict Access To Security Functions
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Description
Mechanisms exist to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Separation of Duties (SoD)
∙ Privileged Account Management (PAM)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Separation of Duties (SoD)
∙ Privileged Account Management (PAM)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Separation of Duties (SoD)
∙ Privileged Account Management (PAM)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Separation of Duties (SoD)
∙ Privileged Account Management (PAM)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
∙ Role Based Access Control (RBAC)
∙ Separation of Duties (SoD)
∙ Privileged Account Management (PAM)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Endpoint Security (END) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with END domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Endpoint security management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Endpoint Security (END) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with END domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with END domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with END domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Endpoint security-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Endpoint security management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Host-Based Security Function Isolation
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Description
Mechanisms exist to implement underlying software separation mechanisms to facilitate security function isolation.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Secure Baseline Configurations (SBC)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Secure Baseline Configurations (SBC)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Secure Baseline Configurations (SBC)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Secure Baseline Configurations (SBC)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Secure Baseline Configurations (SBC)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Endpoint Security (END) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with END domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Endpoint security management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Endpoint Security (END) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with END domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with END domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with END domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Endpoint security-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Endpoint security management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to implement underlying software separation mechanisms to facilitate security function isolation.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Control Assurance Automation (CAA) Change Control
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Description
Mechanisms exist to place Control Assurance Automation (CAA) collection code, queries and transformation logic under version control, peer review, testing and change management commensurate with the sensitivity of the Technology Assets, Applications, Services and/or Data (TAASD) accessed.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Compliance scripts stored in a shared repository with change history
∙ Second-person review of script changes
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Version control (e.g., GitHub, GitLab, Azure DevOps) for compliance automation
∙ Peer review before deployment
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Version control with pull request review
∙ Test environment for CAA logic
∙ CAA changes recorded in the change management system
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Source control with protected branches and mandatory review
∙ Automated testing of CAA logic in CI/CD
∙ Change Advisory Board (CAB) visibility for CAA changes
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise SCM with protected branches, signed commits and mandatory review
∙ Automated regression testing of collection and scoring logic
∙ CAA changes integrated with enterprise change management (e.g., ServiceNow)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Control Assurance Automation (CAA) Unauthorized Change Detection
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Description
Mechanisms exist to detect and alert on changes to Control Assurance Automation (CAA) collection or scoring logic that could alter reported control status without corresponding, authorized change records.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Version history review of compliance scripts
∙ Notification on repository changes
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Repository change notifications (e.g., GitHub, GitLab)
∙ Periodic comparison of deployed scripts to approved versions
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ File Integrity Monitoring (FIM) on CAA code and configuration
∙ Repository audit logs reviewed against change tickets
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ FIM / integrity monitoring on CAA pipelines (e.g., CimTrak, Tripwire, Wazuh)
∙ SIEM correlation of repository and pipeline changes against change records
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise integrity monitoring on CAA pipelines and configuration
∙ SIEM/SOAR correlation of code changes with change management records
∙ Alerting to an independent assurance function
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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Control Assurance Automation (CAA) Separation of Duties
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Description
Mechanisms exist to prevent an individual responsible for operating a control from unilaterally modifying the Control Assurance Automation (CAA) automated collection, transformation, or scoring logic used to evidence that control.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Second-person review of any change to compliance scripts
∙ Documented compensating control where SoD is not feasible
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Repository permissions separating control operators from automation maintainers
∙ Mandatory review of changes by a second individual
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Role Based Access Control (RBAC) on CAA repositories and platforms
∙ Mandatory independent approval for CAA changes
∙ Annual access review
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ RBAC with protected branches and required reviewers
∙ Separation of Duties (SoD) matrix covering CAA
∙ Independent assurance function review
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise SoD enforcement across CAA platforms and repositories
∙ Independent assurance / internal audit ownership of scoring logic
∙ Automated SoD conflict detection (e.g., IGA platform)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Configuration Management (CFG) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with CFG domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Configuration management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Configuration Management (CFG) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Configuration management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Configuration management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Configuration Management (CFG) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CFG domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CFG domain capabilities are well-documented and kept current by process owners.
▪ A configuration management team, or similar function, is appropriately staffed and supported to implement and maintain CFG domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of configuration management operations (e.g., Configuration Management Database (CMBD) Asset Management solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CFG domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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1.1 Riferimenti
1.2 Requisiti identificati
1.3 Regolamentazioni correlate
2. Requisiti identificati
Requisiti
| Fonte |
Requisito |
3. Regolamentazioni correlate
Regolamentazioni
| Fonte |
Regolamentazione |
- Secure Controls Framework -
"The SCF is the Common Controls Framework™ (CCF), the world's most comprehensive cybersecurity and data privacy metaframework - it is also free to use. The entire concept is building secure, compliant and resilient capabilities in the most efficient and cost-effective manner possible.
The SCF is more than just a unified control catalog, since its included content creates a playbook for Governance, Risk & Compliance (GRC) capabilities. Used globally by organizations of every size, the SCF is a robust and scalable solution for security, compliance and resilience controls. As a comprehensive security framework, the SCF maps 1,400+ controls across 200+ laws, regulations, and industry frameworks so you can implement once and comply everywhere.
Like it or not, cybersecurity is a protracted war on an asymmetric battlefield, where the threats are everywhere and as defenders we have to make the effort to work together to help improve cybersecurity and data privacy practices, since we all suffer when massive data breaches occur or when cyber attacks have physical impacts. Hackers share information on attack methods with other hackers, so why shouldn’t the good guys share information on how to best protect an organization? We decided to take action and make a difference, since we feel it is too important to wait for someone else to fix the problems that exist.
The SCF is made up of volunteers, mainly specialists within the cybersecurity profession, who focus on GRC and the cybersecurity side of data privacy. These are auditors, engineers, architects, incident responders, consultants and other specialists who live and breathe these topics on a daily basis. The end product is "expert-derived content" that makes up the SCF." https://securecontrolsframework.com/
Terms & Conditions
The SCF End User License Agreement (EULA) governs the use of the Secure Controls Framework® (SCF) under the Creative Commons Attribution-No Derivatives 4.0 International Public License.
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