Framework for Improving Critical Infrastructure Cybersecurity Version 1 1 National Institute of Standards and Technology April 16 2018 April 16 2018 Cybersecurity Framework Version 1 1 Note to Readers on the Update Version 1 1 of this Cybersecurity Framework refines clarifies and enhances Version 1 0 which was issued in February 2014 It incorporates comments received on the two drafts of Version 1 1 Version 1 1 is intended to be implemented by first-time and current Framework users Current users should be able to implement Version 1 1 with minimal or no disruption compatibility with Version 1 0 has been an explicit objective The following table summarizes the changes made between Version 1 0 and Version 1 1 Table NTR-1 - Summary of changes between Framework Version 1 0 and Version 1 1 Update Clarified that terms like compliance can be confusing and mean something very different to various Framework stakeholders Description of Update Added clarity that the Framework has utility as a structure and language for organizing and expressing compliance with an organization's own cybersecurity requirements However the variety of ways in which the Framework can be used by an organization means that phrases like compliance with the Framework can be confusing A new section on selfassessment Added Section 4 0 Self-Assessing Cybersecurity Risk with the Framework to explain how the Framework can be used by organizations to understand and assess their cybersecurity risk including the use of measurements Greatly expanded An expanded Section 3 3 Communicating Cybersecurity explanation of using Requirements with Stakeholders helps users better understand Framework for Cyber Cyber Supply Chain Risk Management SCRM while a new Supply Chain Risk Section 3 4 Buying Decisions highlights use of the Framework Management purposes in understanding risk associated with commercial off-the-shelf products and services Additional Cyber SCRM criteria were added to the Implementation Tiers Finally a Supply Chain Risk Management Category including multiple Subcategories has been added to the Framework Core Refinements to better The language of the Access Control Category has been refined account for authentication to better account for authentication authorization and identity authorization and identity proofing This included adding one Subcategory each for proofing Authentication and Identity Proofing Also the Category has been renamed to Identity Management and Access Control PR AC to better represent the scope of the Category and corresponding Subcategories Better explanation of the Added language to Section 3 2 Establishing or Improving a relationship between Cybersecurity Program on using Framework Tiers in Implementation Tiers and Framework implementation Added language to Framework Profiles Tiers to reflect integration of Framework considerations within organizational risk management programs The Framework Tier concepts were also refined Updated Figure 2 0 to include actions from the Framework Tiers This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 ii April 16 2018 Consideration of Coordinated Vulnerability Disclosure Cybersecurity Framework Version 1 1 A Subcategory related to the vulnerability disclosure lifecycle was added As with Version 1 0 Version 1 1 users are encouraged to customize the Framework to maximize individual organizational value This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 iii April 16 2018 Cybersecurity Framework Version 1 1 Acknowledgements This publication is the result of an ongoing collaborative effort involving industry academia and government The National Institute of Standards and Technology NIST launched the project by convening private- and public-sector organizations and individuals in 2013 Published in 2014 and revised during 2017 and 2018 this Framework for Improving Critical Infrastructure Cybersecurity has relied upon eight public workshops multiple Requests for Comment or Information and thousands of direct interactions with stakeholders from across all sectors of the United States along with many sectors from around the world The impetus to change Version 1 0 and the changes that appear in this Version 1 1 were based on o o o o o Feedback and frequently asked questions to NIST since release of Framework Version 1 0 105 responses to the December 2015 request for information RFI Views on the Framework for Improving Critical Infrastructure Cybersecurity Over 85 comments on a December 5 2017 proposed second draft of Version 1 1 Over 120 comments on a January 10 2017 proposed first draft Version 1 1 and Input from over 1 200 attendees at the 2016 and 2017 Framework workshops In addition NIST previously released Version 1 0 of the Cybersecurity Framework with a companion document NIST Roadmap for Improving Critical Infrastructure Cybersecurity This Roadmap highlighted key areas of improvement for further development alignment and collaboration Through private and public-sector efforts some areas of improvement have advanced enough to be included in this Framework Version 1 1 NIST acknowledges and thanks all of those who have contributed to this Framework This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 iv April 16 2018 Cybersecurity Framework Version 1 1 Executive Summary The United States depends on the reliable functioning of critical infrastructure Cybersecurity threats exploit the increased complexity and connectivity of critical infrastructure systems placing the Nation's security economy and public safety and health at risk Similar to financial and reputational risks cybersecurity risk affects a company's bottom line It can drive up costs and affect revenue It can harm an organization's ability to innovate and to gain and maintain customers Cybersecurity can be an important and amplifying component of an organization's overall risk management To better address these risks the Cybersecurity Enhancement Act of 2014 1 CEA updated the role of the National Institute of Standards and Technology NIST to include identifying and developing cybersecurity risk frameworks for voluntary use by critical infrastructure owners and operators Through CEA NIST must identify a prioritized flexible repeatable performancebased and cost-effective approach including information security measures and controls that may be voluntarily adopted by owners and operators of critical infrastructure to help them identify assess and manage cyber risks This formalized NIST's previous work developing Framework Version 1 0 under Executive Order EO 13636 Improving Critical Infrastructure Cybersecurity February 2013 and provided guidance for future Framework evolution The Framework that was developed under EO 13636 and continues to evolve according to CEA uses a common language to address and manage cybersecurity risk in a cost-effective way based on business and organizational needs without placing additional regulatory requirements on businesses The Framework focuses on using business drivers to guide cybersecurity activities and considering cybersecurity risks as part of the organization's risk management processes The Framework consists of three parts the Framework Core the Implementation Tiers and the Framework Profiles The Framework Core is a set of cybersecurity activities outcomes and informative references that are common across sectors and critical infrastructure Elements of the Core provide detailed guidance for developing individual organizational Profiles Through use of Profiles the Framework will help an organization to align and prioritize its cybersecurity activities with its business mission requirements risk tolerances and resources The Tiers provide a mechanism for organizations to view and understand the characteristics of their approach to managing cybersecurity risk which will help in prioritizing and achieving cybersecurity objectives While this document was developed to improve cybersecurity risk management in critical infrastructure the Framework can be used by organizations in any sector or community The Framework enables organizations - regardless of size degree of cybersecurity risk or cybersecurity sophistication - to apply the principles and best practices of risk management to improving security and resilience The Framework provides a common organizing structure for multiple approaches to cybersecurity by assembling standards guidelines and practices that are working effectively today Moreover because it references globally recognized standards for cybersecurity the 1 See 15 U S C 272 e 1 A i The Cybersecurity Enhancement Act of 2014 S 1353 became public law 113274 on December 18 2014 and may be found at https www congress gov bill 113th-congress senatebill 1353 text This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 v April 16 2018 Cybersecurity Framework Version 1 1 Framework can serve as a model for international cooperation on strengthening cybersecurity in critical infrastructure as well as other sectors and communities The Framework offers a flexible way to address cybersecurity including cybersecurity's effect on physical cyber and people dimensions It is applicable to organizations relying on technology whether their cybersecurity focus is primarily on information technology IT industrial control systems ICS cyber-physical systems CPS or connected devices more generally including the Internet of Things IoT The Framework can assist organizations in addressing cybersecurity as it affects the privacy of customers employees and other parties Additionally the Framework's outcomes serve as targets for workforce development and evolution activities The Framework is not a one-size-fits-all approach to managing cybersecurity risk for critical infrastructure Organizations will continue to have unique risks - different threats different vulnerabilities different risk tolerances They also will vary in how they customize practices described in the Framework Organizations can determine activities that are important to critical service delivery and can prioritize investments to maximize the impact of each dollar spent Ultimately the Framework is aimed at reducing and better managing cybersecurity risks To account for the unique cybersecurity needs of organizations there are a wide variety of ways to use the Framework The decision about how to apply it is left to the implementing organization For example one organization may choose to use the Framework Implementation Tiers to articulate envisioned risk management practices Another organization may use the Framework's five Functions to analyze its entire risk management portfolio that analysis may or may not rely on more detailed companion guidance such as controls catalogs There sometimes is discussion about compliance with the Framework and the Framework has utility as a structure and language for organizing and expressing compliance with an organization's own cybersecurity requirements Nevertheless the variety of ways in which the Framework can be used by an organization means that phrases like compliance with the Framework can be confusing and mean something very different to various stakeholders The Framework is a living document and will continue to be updated and improved as industry provides feedback on implementation NIST will continue coordinating with the private sector and government agencies at all levels As the Framework is put into greater practice additional lessons learned will be integrated into future versions This will ensure the Framework is meeting the needs of critical infrastructure owners and operators in a dynamic and challenging environment of new threats risks and solutions Expanded and more effective use and sharing of best practices of this voluntary Framework are the next steps to improve the cybersecurity of our Nation's critical infrastructure - providing evolving guidance for individual organizations while increasing the cybersecurity posture of the Nation's critical infrastructure and the broader economy and society This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 vi April 16 2018 Cybersecurity Framework Version 1 1 Table of Contents Note to Readers on the Update ii Acknowledgements iv Executive Summary v 1 0 Framework Introduction 1 2 0 Framework Basics 6 3 0 How to Use the Framework 13 4 0 Self-Assessing Cybersecurity Risk with the Framework 20 Appendix A Framework Core 22 Appendix B Glossary 45 Appendix C Acronyms 48 List of Figures Figure 1 Framework Core Structure 6 Figure 2 Notional Information and Decision Flows within an Organization 12 Figure 3 Cyber Supply Chain Relationships 17 List of Tables Table 1 Function and Category Unique Identifiers 23 Table 2 Framework Core 24 Table 3 Framework Glossary 45 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 vii April 16 2018 1 0 Cybersecurity Framework Version 1 1 Framework Introduction The United States depends on the reliable functioning of its critical infrastructure Cybersecurity threats exploit the increased complexity and connectivity of critical infrastructure systems placing the Nation's security economy and public safety and health at risk Similar to financial and reputational risks cybersecurity risk affects a company's bottom line It can drive up costs and affect revenue It can harm an organization's ability to innovate and to gain and maintain customers Cybersecurity can be an important and amplifying component of an organization's overall risk management To strengthen the resilience of this infrastructure the Cybersecurity Enhancement Act of 2014 2 CEA updated the role of the National Institute of Standards and Technology NIST to facilitate and support the development of cybersecurity risk frameworks Through CEA NIST must identify a prioritized flexible repeatable performance-based and cost-effective approach including information security measures and controls that may be voluntarily adopted by owners and operators of critical infrastructure to help them identify assess and manage cyber risks This formalized NIST's previous work developing Framework Version 1 0 under Executive Order 13636 Improving Critical Infrastructure Cybersecurity issued in February 2013 3 and provided guidance for future Framework evolution Critical infrastructure 4 is defined in the U S Patriot Act of 2001 5 as systems and assets whether physical or virtual so vital to the United States that the incapacity or destruction of such systems and assets would have a debilitating impact on security national economic security national public health or safety or any combination of those matters Due to the increasing pressures from external and internal threats organizations responsible for critical infrastructure need to have a consistent and iterative approach to identifying assessing and managing cybersecurity risk This approach is necessary regardless of an organization's size threat exposure or cybersecurity sophistication today The critical infrastructure community includes public and private owners and operators and other entities with a role in securing the Nation's infrastructure Members of each critical infrastructure sector perform functions that are supported by the broad category of technology including information technology IT industrial control systems ICS cyber-physical systems CPS and connected devices more generally including the Internet of Things IoT This reliance on technology communication and interconnectivity has changed and expanded the potential vulnerabilities and increased potential risk to operations For example as technology and the data it produces and processes are increasingly used to deliver critical services and support business mission decisions the potential impacts of a cybersecurity incident on an 2 See 15 U S C 272 e 1 A i The Cybersecurity Enhancement Act of 2014 S 1353 became public law 113274 on December 18 2014 and may be found at https www congress gov bill 113th-congress senatebill 1353 text 3 Executive Order no 13636 Improving Critical Infrastructure Cybersecurity DCPD-201300091 February 12 2013 https www gpo gov fdsys pkg CFR-2014-title3-vol1 pdf CFR-2014-title3-vol1-eo13636 pdf 4 The Department of Homeland Security DHS Critical Infrastructure program provides a listing of the sectors and their associated critical functions and value chains http www dhs gov critical-infrastructure-sectors 5 See 42 U S C 5195c e The U S Patriot Act of 2001 H R 3162 became public law 107-56 on October 26 2001 and may be found at https www congress gov bill 107th-congress house-bill 3162 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 1 April 16 2018 Cybersecurity Framework Version 1 1 organization the health and safety of individuals the environment communities and the broader economy and society should be considered To manage cybersecurity risks a clear understanding of the organization's business drivers and security considerations specific to its use of technology is required Because each organization's risks priorities and systems are unique the tools and methods used to achieve the outcomes described by the Framework will vary Recognizing the role that the protection of privacy and civil liberties plays in creating greater public trust the Framework includes a methodology to protect individual privacy and civil liberties when critical infrastructure organizations conduct cybersecurity activities Many organizations already have processes for addressing privacy and civil liberties The methodology is designed to complement such processes and provide guidance to facilitate privacy risk management consistent with an organization's approach to cybersecurity risk management Integrating privacy and cybersecurity can benefit organizations by increasing customer confidence enabling more standardized sharing of information and simplifying operations across legal regimes The Framework remains effective and supports technical innovation because it is technology neutral while also referencing a variety of existing standards guidelines and practices that evolve with technology By relying on those global standards guidelines and practices developed managed and updated by industry the tools and methods available to achieve the Framework outcomes will scale across borders acknowledge the global nature of cybersecurity risks and evolve with technological advances and business requirements The use of existing and emerging standards will enable economies of scale and drive the development of effective products services and practices that meet identified market needs Market competition also promotes faster diffusion of these technologies and practices and realization of many benefits by the stakeholders in these sectors Building from those standards guidelines and practices the Framework provides a common taxonomy and mechanism for organizations to 1 Describe their current cybersecurity posture 2 Describe their target state for cybersecurity 3 Identify and prioritize opportunities for improvement within the context of a continuous and repeatable process 4 Assess progress toward the target state 5 Communicate among internal and external stakeholders about cybersecurity risk The Framework is not a one-size-fits-all approach to managing cybersecurity risk for critical infrastructure Organizations will continue to have unique risks - different threats different vulnerabilities different risk tolerances They also will vary in how they customize practices described in the Framework Organizations can determine activities that are important to critical service delivery and can prioritize investments to maximize the impact of each dollar spent Ultimately the Framework is aimed at reducing and better managing cybersecurity risks This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 2 April 16 2018 Cybersecurity Framework Version 1 1 To account for the unique cybersecurity needs of organizations there are a wide variety of ways to use the Framework The decision about how to apply it is left to the implementing organization For example one organization may choose to use the Framework Implementation Tiers to articulate envisioned risk management practices Another organization may use the Framework's five Functions to analyze its entire risk management portfolio that analysis may or may not rely on more detailed companion guidance such as controls catalogs There sometimes is discussion about compliance with the Framework and the Framework has utility as a structure and language for organizing and expressing compliance with an organization's own cybersecurity requirements Nevertheless the variety of ways in which the Framework can be used by an organization means that phrases like compliance with the Framework can be confusing and mean something very different to various stakeholders The Framework complements and does not replace an organization's risk management process and cybersecurity program The organization can use its current processes and leverage the Framework to identify opportunities to strengthen and communicate its management of cybersecurity risk while aligning with industry practices Alternatively an organization without an existing cybersecurity program can use the Framework as a reference to establish one While the Framework has been developed to improve cybersecurity risk management as it relates to critical infrastructure it can be used by organizations in any sector of the economy or society It is intended to be useful to companies government agencies and not-for-profit organizations regardless of their focus or size The common taxonomy of standards guidelines and practices that it provides also is not country-specific Organizations outside the United States may also use the Framework to strengthen their own cybersecurity efforts and the Framework can contribute to developing a common language for international cooperation on critical infrastructure cybersecurity 1 1 Overview of the Framework The Framework is a risk-based approach to managing cybersecurity risk and is composed of three parts the Framework Core the Framework Implementation Tiers and the Framework Profiles Each Framework component reinforces the connection between business mission drivers and cybersecurity activities These components are explained below o The Framework Core is a set of cybersecurity activities desired outcomes and applicable references that are common across critical infrastructure sectors The Core presents industry standards guidelines and practices in a manner that allows for communication of cybersecurity activities and outcomes across the organization from the executive level to the implementation operations level The Framework Core consists of five concurrent and continuous Functions--Identify Protect Detect Respond Recover When considered together these Functions provide a high-level strategic view of the lifecycle of an organization's management of cybersecurity risk The Framework Core then identifies underlying key Categories and Subcategories - which are discrete outcomes - for each Function and matches them with example Informative References such as existing standards guidelines and practices for each Subcategory o Framework Implementation Tiers Tiers provide context on how an organization views cybersecurity risk and the processes in place to manage that risk Tiers describe the degree to which an organization's cybersecurity risk management practices exhibit the This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 3 April 16 2018 Cybersecurity Framework Version 1 1 characteristics defined in the Framework e g risk and threat aware repeatable and adaptive The Tiers characterize an organization's practices over a range from Partial Tier 1 to Adaptive Tier 4 These Tiers reflect a progression from informal reactive responses to approaches that are agile and risk-informed During the Tier selection process an organization should consider its current risk management practices threat environment legal and regulatory requirements business mission objectives and organizational constraints o 1 2 A Framework Profile Profile represents the outcomes based on business needs that an organization has selected from the Framework Categories and Subcategories The Profile can be characterized as the alignment of standards guidelines and practices to the Framework Core in a particular implementation scenario Profiles can be used to identify opportunities for improving cybersecurity posture by comparing a Current Profile the as is state with a Target Profile the to be state To develop a Profile an organization can review all of the Categories and Subcategories and based on business mission drivers and a risk assessment determine which are most important it can add Categories and Subcategories as needed to address the organization's risks The Current Profile can then be used to support prioritization and measurement of progress toward the Target Profile while factoring in other business needs including costeffectiveness and innovation Profiles can be used to conduct self-assessments and communicate within an organization or between organizations Risk Manageme nt and the Cybersecurity Framework Risk management is the ongoing process of identifying assessing and responding to risk To manage risk organizations should understand the likelihood that an event will occur and the potential resulting impacts With this information organizations can determine the acceptable level of risk for achieving their organizational objectives and can express this as their risk tolerance With an understanding of risk tolerance organizations can prioritize cybersecurity activities enabling organizations to make informed decisions about cybersecurity expenditures Implementation of risk management programs offers organizations the ability to quantify and communicate adjustments to their cybersecurity programs Organizations may choose to handle risk in different ways including mitigating the risk transferring the risk avoiding the risk or accepting the risk depending on the potential impact to the delivery of critical services The Framework uses risk management processes to enable organizations to inform and prioritize decisions regarding cybersecurity It supports recurring risk assessments and validation of business drivers to help organizations select target states for cybersecurity activities that reflect desired outcomes Thus the Framework gives organizations the ability to dynamically select and direct improvement in cybersecurity risk management for the IT and ICS environments The Framework is adaptive to provide a flexible and risk-based implementation that can be used with a broad array of cybersecurity risk management processes Examples of cybersecurity risk management processes include International Organization for Standardization ISO This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 4 April 16 2018 Cybersecurity Framework Version 1 1 31000 2009 6 ISO International Electrotechnical Commission IEC 27005 2011 7 NIST Special Publication SP 800-39 8 and the Electricity Subsector Cybersecurity Risk Management Process RMP guideline 9 1 3 Docume nt Overview The remainder of this document contains the following sections and appendices o Section 2 describes the Framework components the Framework Core the Tiers and the Profiles o Section 3 presents examples of how the Framework can be used o Section 4 describes how to use the Framework for self-assessing and demonstrating cybersecurity through measurements o Appendix A presents the Framework Core in a tabular format the Functions Categories Subcategories and Informative References o Appendix B contains a glossary of selected terms o Appendix C lists acronyms used in this document 6 7 8 9 International Organization for Standardization Risk management - Principles and guidelines ISO 31000 2009 2009 http www iso org iso home standards iso31000 htm International Organization for Standardization International Electrotechnical Commission Information technology - Security techniques - Information security risk management ISO IEC 27005 2011 2011 https www iso org standard 56742 html Joint Task Force Transformation Initiative Managing Information Security Risk Organization Mission and Information System View NIST Special Publication 800-39 March 2011 https doi org 10 6028 NIST SP 80039 U S Department of Energy Electricity Subsector Cybersecurity Risk Management Process DOE OE-0003 May 2012 https energy gov sites prod files Cybersecurity Risk Management Process Guideline - Final - May 2012 pdf This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 5 April 16 2018 2 0 Cybersecurity Framework Version 1 1 Framework Basics The Framework provides a common language for understanding managing and expressing cybersecurity risk to internal and external stakeholders It can be used to help identify and prioritize actions for reducing cybersecurity risk and it is a tool for aligning policy business and technological approaches to managing that risk It can be used to manage cybersecurity risk across entire organizations or it can be focused on the delivery of critical services within an organization Different types of entities - including sector coordinating structures associations and organizations - can use the Framework for different purposes including the creation of common Profiles 2 1 Framework C ore The Framework Core provides a set of activities to achieve specific cybersecurity outcomes and references examples of guidance to achieve those outcomes The Core is not a checklist of actions to perform It presents key cybersecurity outcomes identified by stakeholders as helpful in managing cybersecurity risk The Core comprises four elements Functions Categories Subcategories and Informative References depicted in Figure 1 Figure 1 Framework Core Structure The Framework Core elements work together as follows o Functions organize basic cybersecurity activities at their highest level These Functions are Identify Protect Detect Respond and Recover They aid an organization in expressing its management of cybersecurity risk by organizing information enabling risk management decisions addressing threats and improving by learning from previous activities The Functions also align with existing methodologies for incident management and help show the impact of investments in cybersecurity For example investments in planning and exercises support timely response and recovery actions resulting in reduced impact to the delivery of services This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 6 April 16 2018 Cybersecurity Framework Version 1 1 o Categories are the subdivisions of a Function into groups of cybersecurity outcomes closely tied to programmatic needs and particular activities Examples of Categories include Asset Management Identity Management and Access Control and Detection Processes o Subcategories further divide a Category into specific outcomes of technical and or management activities They provide a set of results that while not exhaustive help support achievement of the outcomes in each Category Examples of Subcategories include External information systems are catalogued Data-at-rest is protected and Notifications from detection systems are investigated o Informative References are specific sections of standards guidelines and practices common among critical infrastructure sectors that illustrate a method to achieve the outcomes associated with each Subcategory The Informative References presented in the Framework Core are illustrative and not exhaustive They are based upon cross-sector guidance most frequently referenced during the Framework development process The five Framework Core Functions are defined below These Functions are not intended to form a serial path or lead to a static desired end state Rather the Functions should be performed concurrently and continuously to form an operational culture that addresses the dynamic cybersecurity risk See Appendix A for the complete Framework Core listing o Identify - Develop an organizational understanding to manage cybersecurity risk to systems people assets data and capabilities The activities in the Identify Function are foundational for effective use of the Framework Understanding the business context the resources that support critical functions and the related cybersecurity risks enables an organization to focus and prioritize its efforts consistent with its risk management strategy and business needs Examples of outcome Categories within this Function include Asset Management Business Environment Governance Risk Assessment and Risk Management Strategy o Protect - Develop and implement appropriate safeguards to ensure delivery of critical services The Protect Function supports the ability to limit or contain the impact of a potential cybersecurity event Examples of outcome Categories within this Function include Identity Management and Access Control Awareness and Training Data Security Information Protection Processes and Procedures Maintenance and Protective Technology o Detect - Develop and implement appropriate activities to identify the occurrence of a cybersecurity event The Detect Function enables timely discovery of cybersecurity events Examples of outcome Categories within this Function include Anomalies and Events Security Continuous Monitoring and Detection Processes This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 7 April 16 2018 o Cybersecurity Framework Version 1 1 Respond - Develop and implement appropriate activities to take action regarding a detected cybersecurity incident The Respond Function supports the ability to contain the impact of a potential cybersecurity incident Examples of outcome Categories within this Function include Response Planning Communications Analysis Mitigation and Improvements o Recover - Develop and implement appropriate activities to maintain plans for resilience and to restore any capabilities or services that were impaired due to a cybersecurity incident The Recover Function supports timely recovery to normal operations to reduce the impact from a cybersecurity incident Examples of outcome Categories within this Function include Recovery Planning Improvements and Communications 2 2 Framework Implementation Tiers The Framework Implementation Tiers Tiers provide context on how an organization views cybersecurity risk and the processes in place to manage that risk Ranging from Partial Tier 1 to Adaptive Tier 4 Tiers describe an increasing degree of rigor and sophistication in cybersecurity risk management practices They help determine the extent to which cybersecurity risk management is informed by business needs and is integrated into an organization's overall risk management practices Risk management considerations include many aspects of cybersecurity including the degree to which privacy and civil liberties considerations are integrated into an organization's management of cybersecurity risk and potential risk responses The Tier selection process considers an organization's current risk management practices threat environment legal and regulatory requirements information sharing practices business mission objectives supply chain cybersecurity requirements and organizational constraints Organizations should determine the desired Tier ensuring that the selected level meets the organizational goals is feasible to implement and reduces cybersecurity risk to critical assets and resources to levels acceptable to the organization Organizations should consider leveraging external guidance obtained from Federal government departments and agencies Information Sharing and Analysis Centers ISACs Information Sharing and Analysis Organizations ISAOs existing maturity models or other sources to assist in determining their desired tier While organizations identified as Tier 1 Partial are encouraged to consider moving toward Tier 2 or greater Tiers do not represent maturity levels Tiers are meant to support organizational decision making about how to manage cybersecurity risk as well as which dimensions of the organization are higher priority and could receive additional resources Progression to higher Tiers is encouraged when a cost-benefit analysis indicates a feasible and cost-effective reduction of cybersecurity risk This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 8 April 16 2018 Cybersecurity Framework Version 1 1 Successful implementation of the Framework is based upon achieving the outcomes described in the organization's Target Profile s and not upon Tier determination Still Tier selection and designation naturally affect Framework Profiles The Tier recommendation by Business Process Level managers as approved by the Senior Executive Level will help set the overall tone for how cybersecurity risk will be managed within the organization and should influence prioritization within a Target Profile and assessments of progress in addressing gaps The Tier definitions are as follows Tier 1 Partial o Risk Management Process - Organizational cybersecurity risk management practices are not formalized and risk is managed in an ad hoc and sometimes reactive manner Prioritization of cybersecurity activities may not be directly informed by organizational risk objectives the threat environment or business mission requirements o Integrated Risk Management Program - There is limited awareness of cybersecurity risk at the organizational level The organization implements cybersecurity risk management on an irregular case-by-case basis due to varied experience or information gained from outside sources The organization may not have processes that enable cybersecurity information to be shared within the organization o External Participation - The organization does not understand its role in the larger ecosystem with respect to either its dependencies or dependents The organization does not collaborate with or receive information e g threat intelligence best practices technologies from other entities e g buyers suppliers dependencies dependents ISAOs researchers governments nor does it share information The organization is generally unaware of the cyber supply chain risks of the products and services it provides and that it uses Tier 2 Risk Informed o Risk Management Process - Risk management practices are approved by management but may not be established as organizational-wide policy Prioritization of cybersecurity activities and protection needs is directly informed by organizational risk objectives the threat environment or business mission requirements o Integrated Risk Management Program - There is an awareness of cybersecurity risk at the organizational level but an organization-wide approach to managing cybersecurity risk has not been established Cybersecurity information is shared within the organization on an informal basis Consideration of cybersecurity in organizational objectives and programs may occur at some but not all levels of the organization Cyber risk assessment of organizational and external assets occurs but is not typically repeatable or reoccurring o External Participation - Generally the organization understands its role in the larger ecosystem with respect to either its own dependencies or dependents but not both The organization collaborates with and receives some information from other entities and generates some of its own information but may not share information with others Additionally the organization is aware of the cyber supply chain risks associated with the products and services it provides and uses but does not act consistently or formally upon those risks This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 9 April 16 2018 Cybersecurity Framework Version 1 1 Tier 3 Repeatable o Risk Management Process - The organization's risk management practices are formally approved and expressed as policy Organizational cybersecurity practices are regularly updated based on the application of risk management processes to changes in business mission requirements and a changing threat and technology landscape o Integrated Risk Management Program - There is an organization-wide approach to manage cybersecurity risk Risk-informed policies processes and procedures are defined implemented as intended and reviewed Consistent methods are in place to respond effectively to changes in risk Personnel possess the knowledge and skills to perform their appointed roles and responsibilities The organization consistently and accurately monitors cybersecurity risk of organizational assets Senior cybersecurity and non-cybersecurity executives communicate regularly regarding cybersecurity risk Senior executives ensure consideration of cybersecurity through all lines of operation in the organization o External Participation - The organization understands its role dependencies and dependents in the larger ecosystem and may contribute to the community's broader understanding of risks It collaborates with and receives information from other entities regularly that complements internally generated information and shares information with other entities The organization is aware of the cyber supply chain risks associated with the products and services it provides and that it uses Additionally it usually acts formally upon those risks including mechanisms such as written agreements to communicate baseline requirements governance structures e g risk councils and policy implementation and monitoring Tier 4 Adaptive o Risk Management Process - The organization adapts its cybersecurity practices based on previous and current cybersecurity activities including lessons learned and predictive indicators Through a process of continuous improvement incorporating advanced cybersecurity technologies and practices the organization actively adapts to a changing threat and technology landscape and responds in a timely and effective manner to evolving sophisticated threats o Integrated Risk Management Program - There is an organization-wide approach to managing cybersecurity risk that uses risk-informed policies processes and procedures to address potential cybersecurity events The relationship between cybersecurity risk and organizational objectives is clearly understood and considered when making decisions Senior executives monitor cybersecurity risk in the same context as financial risk and other organizational risks The organizational budget is based on an understanding of the current and predicted risk environment and risk tolerance Business units implement executive vision and analyze system-level risks in the context of the organizational risk tolerances Cybersecurity risk management is part of the organizational culture and evolves from an awareness of previous activities and continuous awareness of activities on their systems and networks The organization can quickly and efficiently account for changes to business mission objectives in how risk is approached and communicated This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 10 April 16 2018 o 2 3 Cybersecurity Framework Version 1 1 External Participation - The organization understands its role dependencies and dependents in the larger ecosystem and contributes to the community's broader understanding of risks It receives generates and reviews prioritized information that informs continuous analysis of its risks as the threat and technology landscapes evolve The organization shares that information internally and externally with other collaborators The organization uses real-time or near real-time information to understand and consistently act upon cyber supply chain risks associated with the products and services it provides and that it uses Additionally it communicates proactively using formal e g agreements and informal mechanisms to develop and maintain strong supply chain relationships Framework Profile The Framework Profile Profile is the alignment of the Functions Categories and Subcategories with the business requirements risk tolerance and resources of the organization A Profile enables organizations to establish a roadmap for reducing cybersecurity risk that is well aligned with organizational and sector goals considers legal regulatory requirements and industry best practices and reflects risk management priorities Given the complexity of many organizations they may choose to have multiple profiles aligned with particular components and recognizing their individual needs Framework Profiles can be used to describe the current state or the desired target state of specific cybersecurity activities The Current Profile indicates the cybersecurity outcomes that are currently being achieved The Target Profile indicates the outcomes needed to achieve the desired cybersecurity risk management goals Profiles support business mission requirements and aid in communicating risk within and between organizations This Framework does not prescribe Profile templates allowing for flexibility in implementation Comparison of Profiles e g the Current Profile and Target Profile may reveal gaps to be addressed to meet cybersecurity risk management objectives An action plan to address these gaps to fulfill a given Category or Subcategory can contribute to the roadmap described above Prioritizing the mitigation of gaps is driven by the organization's business needs and risk management processes This risk-based approach enables an organization to gauge the resources needed e g staffing funding to achieve cybersecurity goals in a cost-effective prioritized manner Furthermore the Framework is a risk-based approach where the applicability and fulfillment of a given Subcategory is subject to the Profile's scope This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 11 April 16 2018 2 4 Cybersecurity Framework Version 1 1 Coordi nation of F ramework Implementation Figure 2 describes a common flow of information and decisions at the following levels within an organization o o o Executive Business Process Implementation Operations The executive level communicates the mission priorities available resources and overall risk tolerance to the business process level The business process level uses the information as inputs into the risk management process and then collaborates with the implementation operations level to communicate business needs and create a Profile The implementation operations level communicates the Profile implementation progress to the business process level The business process level uses this information to perform an impact assessment Business process level management reports the outcomes of that impact assessment to the executive level to inform the organization's overall risk management process and to the implementation operations level for awareness of business impact Figure 2 Notional Information and Decision Flows within an Organization This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 12 April 16 2018 3 0 Cybersecurity Framework Version 1 1 How to Use the Framework An organization can use the Framework as a key part of its systematic process for identifying assessing and managing cybersecurity risk The Framework is not designed to replace existing processes an organization can use its current process and overlay it onto the Framework to determine gaps in its current cybersecurity risk approach and develop a roadmap to improvement Using the Framework as a cybersecurity risk management tool an organization can determine activities that are most important to critical service delivery and prioritize expenditures to maximize the impact of the investment The Framework is designed to complement existing business and cybersecurity operations It can serve as the foundation for a new cybersecurity program or a mechanism for improving an existing program The Framework provides a means of expressing cybersecurity requirements to business partners and customers and can help identify gaps in an organization's cybersecurity practices It also provides a general set of considerations and processes for considering privacy and civil liberties implications in the context of a cybersecurity program The Framework can be applied throughout the life cycle phases of plan design build buy deploy operate and decommission The plan phase begins the cycle of any system and lays the groundwork for everything that follows Overarching cybersecurity considerations should be declared and described as clearly as possible The plan should recognize that those considerations and requirements are likely to evolve during the remainder of the life cycle The design phase should account for cybersecurity requirements as a part of a larger multidisciplinary systems engineering process 10 A key milestone of the design phase is validation that the system cybersecurity specifications match the needs and risk disposition of the organization as captured in a Framework Profile The desired cybersecurity outcomes prioritized in a Target Profile should be incorporated when a developing the system during the build phase and b purchasing or outsourcing the system during the buy phase That same Target Profile serves as a list of system cybersecurity features that should be assessed when deploying the system to verify all features are implemented The cybersecurity outcomes determined by using the Framework then should serve as a basis for ongoing operation of the system This includes occasional reassessment capturing results in a Current Profile to verify that cybersecurity requirements are still fulfilled Typically a complex web of dependencies e g compensating and common controls among systems means the outcomes documented in Target Profiles of related systems should be carefully considered as systems are decommissioned The following sections present different ways in which organizations can use the Framework 3 1 Basic Review of C ybersecurity Practices The Framework can be used to compare an organization's current cybersecurity activities with those outlined in the Framework Core Through the creation of a Current Profile organizations can examine the extent to which they are achieving the outcomes described in the Core Categories and Subcategories aligned with the five high-level Functions Identify Protect Detect Respond and Recover An organization may find that it is already achieving the desired 10 NIST Special Publication 800-160 Volume 1 System Security Engineering Considerations for a Multidisciplinary Approach in the Engineering of Trustworthy Secure Systems Ross et al November 2016 updated March 21 2018 https doi org 10 6028 NIST SP 800-160v1 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 13 April 16 2018 Cybersecurity Framework Version 1 1 outcomes thus managing cybersecurity commensurate with the known risk Alternatively an organization may determine that it has opportunities to or needs to improve The organization can use that information to develop an action plan to strengthen existing cybersecurity practices and reduce cybersecurity risk An organization may also find that it is overinvesting to achieve certain outcomes The organization can use this information to reprioritize resources While they do not replace a risk management process these five high-level Functions will provide a concise way for senior executives and others to distill the fundamental concepts of cybersecurity risk so that they can assess how identified risks are managed and how their organization stacks up at a high level against existing cybersecurity standards guidelines and practices The Framework can also help an organization answer fundamental questions including How are we doing Then they can move in a more informed way to strengthen their cybersecurity practices where and when deemed necessary 3 2 Establishing or Improving a Cy bersecurity Program The following steps illustrate how an organization could use the Framework to create a new cybersecurity program or improve an existing program These steps should be repeated as necessary to continuously improve cybersecurity Step 1 Prioritize and Scope The organization identifies its business mission objectives and high-level organizational priorities With this information the organization makes strategic decisions regarding cybersecurity implementations and determines the scope of systems and assets that support the selected business line or process The Framework can be adapted to support the different business lines or processes within an organization which may have different business needs and associated risk tolerance Risk tolerances may be reflected in a target Implementation Tier Step 2 Orient Once the scope of the cybersecurity program has been determined for the business line or process the organization identifies related systems and assets regulatory requirements and overall risk approach The organization then consults sources to identify threats and vulnerabilities applicable to those systems and assets Step 3 Create a Current Profile The organization develops a Current Profile by indicating which Category and Subcategory outcomes from the Framework Core are currently being achieved If an outcome is partially achieved noting this fact will help support subsequent steps by providing baseline information Step 4 Conduct a Risk Assessment This assessment could be guided by the organization's overall risk management process or previous risk assessment activities The organization analyzes the operational environment in order to discern the likelihood of a cybersecurity event and the impact that the event could have on the organization It is important that organizations identify emerging risks and use cyber threat information from internal and external sources to gain a better understanding of the likelihood and impact of cybersecurity events Step 5 Create a Target Profile The organization creates a Target Profile that focuses on the assessment of the Framework Categories and Subcategories describing the organization's desired cybersecurity outcomes Organizations also may develop their own additional Categories and This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 14 April 16 2018 Cybersecurity Framework Version 1 1 Subcategories to account for unique organizational risks The organization may also consider influences and requirements of external stakeholders such as sector entities customers and business partners when creating a Target Profile The Target Profile should appropriately reflect criteria within the target Implementation Tier Step 6 Determine Analyze and Prioritize Gaps The organization compares the Current Profile and the Target Profile to determine gaps Next it creates a prioritized action plan to address gaps - reflecting mission drivers costs and benefits and risks - to achieve the outcomes in the Target Profile The organization then determines resources including funding and workforce necessary to address the gaps Using Profiles in this manner encourages the organization to make informed decisions about cybersecurity activities supports risk management and enables the organization to perform cost-effective targeted improvements Step 7 Implement Action Plan The organization determines which actions to take to address the gaps if any identified in the previous step and then adjusts its current cybersecurity practices in order to achieve the Target Profile For further guidance the Framework identifies example Informative References regarding the Categories and Subcategories but organizations should determine which standards guidelines and practices including those that are sector specific work best for their needs An organization repeats the steps as needed to continuously assess and improve its cybersecurity For instance organizations may find that more frequent repetition of the orient step improves the quality of risk assessments Furthermore organizations may monitor progress through iterative updates to the Current Profile subsequently comparing the Current Profile to the Target Profile Organizations may also use this process to align their cybersecurity program with their desired Framework Implementation Tier 3 3 Communicating C ybersecurity Requirements with Stakeholders The Framework provides a common language to communicate requirements among interdependent stakeholders responsible for the delivery of essential critical infrastructure products and services Examples include o o o o o An organization may use a Target Profile to express cybersecurity risk management requirements to an external service provider e g a cloud provider to which it is exporting data An organization may express its cybersecurity state through a Current Profile to report results or to compare with acquisition requirements A critical infrastructure owner operator having identified an external partner on whom that infrastructure depends may use a Target Profile to convey required Categories and Subcategories A critical infrastructure sector may establish a Target Profile that can be used among its constituents as an initial baseline Profile to build their tailored Target Profiles An organization can better manage cybersecurity risk among stakeholders by assessing their position in the critical infrastructure and the broader digital economy using Implementation Tiers Communication is especially important among stakeholders up and down supply chains Supply chains are complex globally distributed and interconnected sets of resources and processes This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 15 April 16 2018 Cybersecurity Framework Version 1 1 between multiple levels of organizations Supply chains begin with the sourcing of products and services and extend from the design development manufacturing processing handling and delivery of products and services to the end user Given these complex and interconnected relationships supply chain risk management SCRM is a critical organizational function 11 Cyber SCRM is the set of activities necessary to manage cybersecurity risk associated with external parties More specifically cyber SCRM addresses both the cybersecurity effect an organization has on external parties and the cybersecurity effect external parties have on an organization A primary objective of cyber SCRM is to identify assess and mitigate products and services that may contain potentially malicious functionality are counterfeit or are vulnerable due to poor manufacturing and development practices within the cyber supply chain 12 Cyber SCRM activities may include o o o o o Determining cybersecurity requirements for suppliers Enacting cybersecurity requirements through formal agreement e g contracts Communicating to suppliers how those cybersecurity requirements will be verified and validated Verifying that cybersecurity requirements are met through a variety of assessment methodologies and Governing and managing the above activities As depicted in Figure 3 cyber SCRM encompasses technology suppliers and buyers as well as non-technology suppliers and buyers where technology is minimally composed of information technology IT industrial control systems ICS cyber-physical systems CPS and connected devices more generally including the Internet of Things IoT Figure 3 depicts an organization at a single point in time However through the normal course of business operations most organizations will be both an upstream supplier and downstream buyer in relation to other organizations or end users 11 Communicating Cybersecurity Requirements Section 3 3 and Buying Decisions Section 3 4 address only two uses of the Framework for cyber SCRM and are not intended to address cyber SCRM comprehensively 12 NIST Special Publication 800-161 Supply Chain Risk Management Practices for Federal Information Systems and Organizations Boyens et al April 2015 https doi org 10 6028 NIST SP 800-161 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 16 April 16 2018 Cybersecurity Framework Version 1 1 Figure 3 Cyber Supply Chain Relationships The parties described in Figure 3 comprise an organization's cybersecurity ecosystem These relationships highlight the crucial role of cyber SCRM in addressing cybersecurity risk in critical infrastructure and the broader digital economy These relationships the products and services they provide and the risks they present should be identified and factored into the protective and detective capabilities of organizations as well as their response and recovery protocols In the figure above Buyer refers to the downstream people or organizations that consume a given product or service from an organization including both for-profit and not-for-profit organizations Supplier encompasses upstream product and service providers that are used for an organization's internal purposes e g IT infrastructure or integrated into the products or services provided to the Buyer These terms are applicable for both technology-based and nontechnology-based products and services Whether considering individual Subcategories of the Core or the comprehensive considerations of a Profile the Framework offers organizations and their partners a method to help ensure the new product or service meets critical security outcomes By first selecting outcomes that are relevant to the context e g transmission of Personally Identifiable Information PII mission critical service delivery data verification services product or service integrity the organization then can evaluate partners against those criteria For example if a system is being purchased that will monitor Operational Technology OT for anomalous network communication availability may be a particularly important cybersecurity objective to achieve and should drive a Technology Supplier evaluation against applicable Subcategories e g ID BE-4 ID SC-3 ID SC-4 ID SC-5 PR DS-4 PR DS-6 PR DS-7 PR DS-8 PR IP-1 DE AE-5 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 17 April 16 2018 3 4 Cybersecurity Framework Version 1 1 Buying Decisions Since a Framework Target Profile is a prioritized list of organizational cybersecurity requirements Target Profiles can be used to inform decisions about buying products and services This transaction varies from Communicating Cybersecurity Requirements with Stakeholders addressed in Section 3 3 in that it may not be possible to impose a set of cybersecurity requirements on the supplier The objective should be to make the best buying decision among multiple suppliers given a carefully determined list of cybersecurity requirements Often this means some degree of trade-off comparing multiple products or services with known gaps to the Target Profile Once a product or service is purchased the Profile also can be used to track and address residual cybersecurity risk For example if the service or product purchased did not meet all the objectives described in the Target Profile the organization can address the residual risk through other management actions The Profile also provides the organization a method for assessing if the product meets cybersecurity outcomes through periodic review and testing mechanisms 3 5 Identifying Opportunities for New or Revised Informative References The Framework can be used to identify opportunities for new or revised standards guidelines or practices where additional Informative References would help organizations address emerging needs An organization implementing a given Subcategory or developing a new Subcategory might discover that there are few Informative References if any for a related activity To address that need the organization might collaborate with technology leaders and or standards bodies to draft develop and coordinate standards guidelines or practices 3 6 Methodology to Protect Privacy and Civil Liberties This section describes a methodology to address individual privacy and civil liberties implications that may result from cybersecurity This methodology is intended to be a general set of considerations and processes since privacy and civil liberties implications may differ by sector or over time and organizations may address these considerations and processes with a range of technical implementations Nonetheless not all activities in a cybersecurity program engender privacy and civil liberties considerations Technical privacy standards guidelines and additional best practices may need to be developed to support improved technical implementations Privacy and cybersecurity have a strong connection An organization's cybersecurity activities also can create risks to privacy and civil liberties when personal information is used collected processed maintained or disclosed Some examples include cybersecurity activities that result in the over-collection or over-retention of personal information disclosure or use of personal information unrelated to cybersecurity activities and cybersecurity mitigation activities that result in denial of service or other similar potentially adverse impacts including some types of incident detection or monitoring that may inhibit freedom of expression or association The government and its agents have a responsibility to protect civil liberties arising from cybersecurity activities As referenced in the methodology below government or its agents that own or operate critical infrastructure should have a process in place to support compliance of cybersecurity activities with applicable privacy laws regulations and Constitutional requirements This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 18 April 16 2018 Cybersecurity Framework Version 1 1 To address privacy implications organizations may consider how their cybersecurity program might incorporate privacy principles such as data minimization in the collection disclosure and retention of personal information material related to the cybersecurity incident use limitations outside of cybersecurity activities on any information collected specifically for cybersecurity activities transparency for certain cybersecurity activities individual consent and redress for adverse impacts arising from use of personal information in cybersecurity activities data quality integrity and security and accountability and auditing As organizations assess the Framework Core in Appendix A the following processes and activities may be considered as a means to address the above-referenced privacy and civil liberties implications Governance of cybersecurity risk o o o o An organization's assessment of cybersecurity risk and potential risk responses considers the privacy implications of its cybersecurity program Individuals with cybersecurity-related privacy responsibilities report to appropriate management and are appropriately trained Process is in place to support compliance of cybersecurity activities with applicable privacy laws regulations and Constitutional requirements Process is in place to assess implementation of the above organizational measures and controls Approaches to identifying authenticating and authorizing individuals to access organizational assets and systems o Steps are taken to identify and address the privacy implications of identity management and access control measures to the extent that they involve collection disclosure or use of personal information Awareness and training measures o o Applicable information from organizational privacy policies is included in cybersecurity workforce training and awareness activities Service providers that provide cybersecurity-related services for the organization are informed about the organization's applicable privacy policies Anomalous activity detection and system and assets monitoring o Process is in place to conduct a privacy review of an organization's anomalous activity detection and cybersecurity monitoring Response activities including information sharing or other mitigation efforts o o Process is in place to assess and address whether when how and the extent to which personal information is shared outside the organization as part of cybersecurity information sharing activities Process is in place to conduct a privacy review of an organization's cybersecurity mitigation efforts This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 19 April 16 2018 4 0 Cybersecurity Framework Version 1 1 Self-Assessing Cybersecurity Risk with the Framework The Cybersecurity Framework is designed to reduce risk by improving the management of cybersecurity risk to organizational objectives Ideally organizations using the Framework will be able to measure and assign values to their risk along with the cost and benefits of steps taken to reduce risk to acceptable levels The better an organization is able to measure its risk costs and benefits of cybersecurity strategies and steps the more rational effective and valuable its cybersecurity approach and investments will be Over time self-assessment and measurement should improve decision making about investment priorities For example measuring - or at least robustly characterizing - aspects of an organization's cybersecurity state and trends over time can enable that organization to understand and convey meaningful risk information to dependents suppliers buyers and other parties An organization can accomplish this internally or by seeking a third-party assessment If done properly and with an appreciation of limitations these measurements can provide a basis for strong trusted relationships both inside and outside of an organization To examine the effectiveness of investments an organization must first have a clear understanding of its organizational objectives the relationship between those objectives and supportive cybersecurity outcomes and how those discrete cybersecurity outcomes are implemented and managed While measurements of all those items is beyond the scope of the Framework the cybersecurity outcomes of the Framework Core support self-assessment of investment effectiveness and cybersecurity activities in the following ways o o o o o Making choices about how different portions of the cybersecurity operation should influence the selection of Target Implementation Tiers Evaluating the organization's approach to cybersecurity risk management by determining Current Implementation Tiers Prioritizing cybersecurity outcomes by developing Target Profiles Determining the degree to which specific cybersecurity steps achieve desired cybersecurity outcomes by assessing Current Profiles and Measuring the degree of implementation for controls catalogs or technical guidance listed as Informative References The development of cybersecurity performance metrics is evolving Organizations should be thoughtful creative and careful about the ways in which they employ measurements to optimize use while avoiding reliance on artificial indicators of current state and progress in improving cybersecurity risk management Judging cyber risk requires discipline and should be revisited periodically Any time measurements are employed as part of the Framework process organizations are encouraged to clearly identify and know why these measurements are important and how they will contribute to the overall management of cybersecurity risk They also should be clear about the limitations of measurements that are used For example tracking security measures and business outcomes may provide meaningful insight as to how changes in granular security controls affect the completion of organizational objectives Verifying achievement of some organizational objectives requires analyzing the data only after that objective was to have been achieved This type of lagging measure is more This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 20 April 16 2018 Cybersecurity Framework Version 1 1 absolute However it is often more valuable to predict whether a cybersecurity risk may occur and the impact it might have using a leading measure Organizations are encouraged to innovate and customize how they incorporate measurements into their application of the Framework with a full appreciation of their usefulness and limitations This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 21 April 16 2018 Cybersecurity Framework Version 1 1 Appendix A Framework Core This appendix presents the Framework Core a listing of Functions Categories Subcategories and Informative References that describe specific cybersecurity activities that are common across all critical infrastructure sectors The chosen presentation format for the Framework Core does not suggest a specific implementation order or imply a degree of importance of the Categories Subcategories and Informative References The Framework Core presented in this appendix represents a common set of activities for managing cybersecurity risk While the Framework is not exhaustive it is extensible allowing organizations sectors and other entities to use Subcategories and Informative References that are cost-effective and efficient and that enable them to manage their cybersecurity risk Activities can be selected from the Framework Core during the Profile creation process and additional Categories Subcategories and Informative References may be added to the Profile An organization's risk management processes legal regulatory requirements business mission objectives and organizational constraints guide the selection of these activities during Profile creation Personal information is considered a component of data or assets referenced in the Categories when assessing security risks and protections While the intended outcomes identified in the Functions Categories and Subcategories are the same for IT and ICS the operational environments and considerations for IT and ICS differ ICS have a direct effect on the physical world including potential risks to the health and safety of individuals and impact on the environment Additionally ICS have unique performance and reliability requirements compared with IT and the goals of safety and efficiency must be considered when implementing cybersecurity measures For ease of use each component of the Framework Core is given a unique identifier Functions and Categories each have a unique alphabetic identifier as shown in Table 1 Subcategories within each Category are referenced numerically the unique identifier for each Subcategory is included in Table 2 Additional supporting material including Informative References relating to the Framework can be found on the NIST website at http www nist gov cyberframework This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 22 April 16 2018 Cybersecurity Framework Version 1 1 Table 1 Function and Category Unique Identifiers Function Unique Identifier Function Category Unique Identifier ID Identify ID AM Asset Management ID BE Business Environment ID GV Governance ID RA Risk Assessment ID RM Risk Management Strategy ID SC Supply Chain Risk Management PR AC Identity Management and Access Control PR AT Awareness and Training PR DS Data Security PR IP Information Protection Processes and Procedures PR DE RS RC Protect Detect Respond Recover Category PR MA Maintenance PR PT Protective Technology DE AE Anomalies and Events DE CM Security Continuous Monitoring DE DP Detection Processes RS RP Response Planning RS CO Communications RS AN Analysis RS MI Mitigation RS IM Improvements RC RP Recovery Planning RC IM Improvements RC CO Communications This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 23 April 16 2018 Cybersecurity Framework Version 1 1 Table 2 Framework Core Function Category IDENTIFY ID Asset Management ID AM The data personnel devices systems and facilities that enable the organization to achieve business purposes are identified and managed consistent with their relative importance to organizational objectives and the organization's risk strategy Subcategory Informative References ID AM-1 Physical devices and systems within the organization are inventoried CIS CSC 1 COBIT 5 BAI09 01 BAI09 02 ISA 62443-2-1 2009 4 2 3 4 ISA 62443-3-3 2013 SR 7 8 ISO IEC 27001 2013 A 8 1 1 A 8 1 2 NIST SP 800-53 Rev 4 CM-8 PM-5 ID AM-2 Software platforms and applications within the organization are inventoried CIS CSC 2 COBIT 5 BAI09 01 BAI09 02 BAI09 05 ISA 62443-2-1 2009 4 2 3 4 ISA 62443-3-3 2013 SR 7 8 ISO IEC 27001 2013 A 8 1 1 A 8 1 2 A 12 5 1 NIST SP 800-53 Rev 4 CM-8 PM-5 ID AM-3 Organizational communication and data flows are mapped CIS CSC 12 COBIT 5 DSS05 02 ISA 62443-2-1 2009 4 2 3 4 ISO IEC 27001 2013 A 13 2 1 A 13 2 2 NIST SP 800-53 Rev 4 AC-4 CA-3 CA-9 PL-8 ID AM-4 External information systems are catalogued CIS CSC 12 COBIT 5 APO02 02 APO10 04 DSS01 02 ISO IEC 27001 2013 A 11 2 6 NIST SP 800-53 Rev 4 AC-20 SA-9 ID AM-5 Resources e g hardware devices data time personnel and software are prioritized based on their classification criticality and business value CIS CSC 13 14 COBIT 5 APO03 03 APO03 04 APO12 01 BAI04 02 BAI09 02 ISA 62443-2-1 2009 4 2 3 6 ISO IEC 27001 2013 A 8 2 1 NIST SP 800-53 Rev 4 CP-2 RA-2 SA-14 SC-6 ID AM-6 Cybersecurity roles and responsibilities for the entire workforce and CIS CSC 17 19 COBIT 5 APO01 02 APO07 06 APO13 01 DSS06 03 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 24 April 16 2018 Function Category Business Environment ID BE The organization's mission objectives stakeholders and activities are understood and prioritized this information is used to inform cybersecurity roles responsibilities and risk management decisions Governance ID GV The policies procedures and processes to manage and monitor the organization's regulatory legal risk environmental and operational requirements are understood and inform the Cybersecurity Framework Subcategory Version 1 1 Informative References third-party stakeholders e g suppliers customers partners are established ISA 62443-2-1 2009 4 3 2 3 3 ISO IEC 27001 2013 A 6 1 1 NIST SP 800-53 Rev 4 CP-2 PS-7 PM-11 ID BE-1 The organization's role in the supply chain is identified and communicated COBIT 5 APO08 01 APO08 04 APO08 05 APO10 03 APO10 04 APO10 05 ISO IEC 27001 2013 A 15 1 1 A 15 1 2 A 15 1 3 A 15 2 1 A 15 2 2 NIST SP 800-53 Rev 4 CP-2 SA-12 ID BE-2 The organization's place in critical infrastructure and its industry sector is identified and communicated COBIT 5 APO02 06 APO03 01 ISO IEC 27001 2013 Clause 4 1 NIST SP 800-53 Rev 4 PM-8 ID BE-3 Priorities for organizational mission objectives and activities are established and communicated COBIT 5 APO02 01 APO02 06 APO03 01 ISA 62443-2-1 2009 4 2 2 1 4 2 3 6 NIST SP 800-53 Rev 4 PM-11 SA-14 ID BE-4 Dependencies and critical functions for delivery of critical services are established COBIT 5 APO10 01 BAI04 02 BAI09 02 ISO IEC 27001 2013 A 11 2 2 A 11 2 3 A 12 1 3 NIST SP 800-53 Rev 4 CP-8 PE-9 PE-11 PM-8 SA-14 ID BE-5 Resilience requirements to support delivery of critical services are established for all operating states e g under duress attack during recovery normal operations COBIT 5 BAI03 02 DSS04 02 ISO IEC 27001 2013 A 11 1 4 A 17 1 1 A 17 1 2 A 17 2 1 NIST SP 800-53 Rev 4 CP-2 CP-11 SA-13 SA14 ID GV-1 Organizational cybersecurity policy is established and communicated CIS CSC 19 COBIT 5 APO01 03 APO13 01 EDM01 01 EDM01 02 ISA 62443-2-1 2009 4 3 2 6 ISO IEC 27001 2013 A 5 1 1 NIST SP 800-53 Rev 4 -1 controls from all security control families This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 25 April 16 2018 Function Cybersecurity Framework Version 1 1 Category Subcategory Informative References management of cybersecurity risk ID GV-2 Cybersecurity roles and responsibilities are coordinated and aligned with internal roles and external partners CIS CSC 19 COBIT 5 APO01 02 APO10 03 APO13 02 DSS05 04 ISA 62443-2-1 2009 4 3 2 3 3 ISO IEC 27001 2013 A 6 1 1 A 7 2 1 A 15 1 1 NIST SP 800-53 Rev 4 PS-7 PM-1 PM-2 ID GV-3 Legal and regulatory requirements regarding cybersecurity including privacy and civil liberties obligations are understood and managed CIS CSC 19 COBIT 5 BAI02 01 MEA03 01 MEA03 04 ISA 62443-2-1 2009 4 4 3 7 ISO IEC 27001 2013 A 18 1 1 A 18 1 2 A 18 1 3 A 18 1 4 A 18 1 5 NIST SP 800-53 Rev 4 -1 controls from all security control families ID GV-4 Governance and risk management processes address cybersecurity risks COBIT 5 EDM03 02 APO12 02 APO12 05 DSS04 02 ISA 62443-2-1 2009 4 2 3 1 4 2 3 3 4 2 3 8 4 2 3 9 4 2 3 11 4 3 2 4 3 4 3 2 6 3 ISO IEC 27001 2013 Clause 6 NIST SP 800-53 Rev 4 SA-2 PM-3 PM-7 PM9 PM-10 PM-11 ID RA-1 Asset vulnerabilities are identified and documented CIS CSC 4 COBIT 5 APO12 01 APO12 02 APO12 03 APO12 04 DSS05 01 DSS05 02 ISA 62443-2-1 2009 4 2 3 4 2 3 7 4 2 3 9 4 2 3 12 ISO IEC 27001 2013 A 12 6 1 A 18 2 3 NIST SP 800-53 Rev 4 CA-2 CA-7 CA-8 RA3 RA-5 SA-5 SA-11 SI-2 SI-4 SI-5 ID RA-2 Cyber threat intelligence is received from information sharing forums and sources CIS CSC 4 COBIT 5 BAI08 01 ISA 62443-2-1 2009 4 2 3 4 2 3 9 4 2 3 12 ISO IEC 27001 2013 A 6 1 4 NIST SP 800-53 Rev 4 SI-5 PM-15 PM-16 Risk Assessment ID RA The organization understands the cybersecurity risk to organizational operations including mission functions image or reputation organizational assets and individuals This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 26 April 16 2018 Function Category Risk Management Strategy ID RM The organization's priorities constraints risk tolerances and assumptions are established and used to support operational risk decisions Cybersecurity Framework Subcategory Version 1 1 Informative References ID RA-3 Threats both internal and external are identified and documented CIS CSC 4 COBIT 5 APO12 01 APO12 02 APO12 03 APO12 04 ISA 62443-2-1 2009 4 2 3 4 2 3 9 4 2 3 12 ISO IEC 27001 2013 Clause 6 1 2 NIST SP 800-53 Rev 4 RA-3 SI-5 PM-12 PM16 ID RA-4 Potential business impacts and likelihoods are identified CIS CSC 4 COBIT 5 DSS04 02 ISA 62443-2-1 2009 4 2 3 4 2 3 9 4 2 3 12 ISO IEC 27001 2013 A 16 1 6 Clause 6 1 2 NIST SP 800-53 Rev 4 RA-2 RA-3 SA-14 PM9 PM-11 ID RA-5 Threats vulnerabilities likelihoods and impacts are used to determine risk CIS CSC 4 COBIT 5 APO12 02 ISO IEC 27001 2013 A 12 6 1 NIST SP 800-53 Rev 4 RA-2 RA-3 PM-16 ID RA-6 Risk responses are identified and prioritized CIS CSC 4 COBIT 5 APO12 05 APO13 02 ISO IEC 27001 2013 Clause 6 1 3 NIST SP 800-53 Rev 4 PM-4 PM-9 ID RM-1 Risk management processes are established managed and agreed to by organizational stakeholders CIS CSC 4 COBIT 5 APO12 04 APO12 05 APO13 02 BAI02 03 BAI04 02 ISA 62443-2-1 2009 4 3 4 2 ISO IEC 27001 2013 Clause 6 1 3 Clause 8 3 Clause 9 3 NIST SP 800-53 Rev 4 PM-9 COBIT 5 APO12 06 ISA 62443-2-1 2009 4 3 2 6 5 ISO IEC 27001 2013 Clause 6 1 3 Clause 8 3 NIST SP 800-53 Rev 4 PM-9 ID RM-2 Organizational risk tolerance is determined and clearly expressed This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 27 April 16 2018 Function Category Supply Chain Risk Management ID SC The organization's priorities constraints risk tolerances and assumptions are established and used to support risk decisions associated with managing supply chain risk The organization has established and implemented the processes to identify assess and manage supply chain risks Cybersecurity Framework Version 1 1 Subcategory Informative References ID RM-3 The organization's determination of risk tolerance is informed by its role in critical infrastructure and sector specific risk analysis COBIT 5 APO12 02 ISO IEC 27001 2013 Clause 6 1 3 Clause 8 3 NIST SP 800-53 Rev 4 SA-14 PM-8 PM-9 PM11 ID SC-1 Cyber supply chain risk management processes are identified established assessed managed and agreed to by organizational stakeholders CIS CSC 4 COBIT 5 APO10 01 APO10 04 APO12 04 APO12 05 APO13 02 BAI01 03 BAI02 03 BAI04 02 ISA 62443-2-1 2009 4 3 4 2 ISO IEC 27001 2013 A 15 1 1 A 15 1 2 A 15 1 3 A 15 2 1 A 15 2 2 NIST SP 800-53 Rev 4 SA-9 SA-12 PM-9 ID SC-2 Suppliers and third party partners of information systems components and services are identified prioritized and assessed using a cyber supply chain risk assessment process COBIT 5 APO10 01 APO10 02 APO10 04 APO10 05 APO12 01 APO12 02 APO12 03 APO12 04 APO12 05 APO12 06 APO13 02 BAI02 03 ISA 62443-2-1 2009 4 2 3 1 4 2 3 2 4 2 3 3 4 2 3 4 4 2 3 6 4 2 3 8 4 2 3 9 4 2 3 10 4 2 3 12 4 2 3 13 4 2 3 14 ISO IEC 27001 2013 A 15 2 1 A 15 2 2 NIST SP 800-53 Rev 4 RA-2 RA-3 SA-12 SA14 SA-15 PM-9 ID SC-3 Contracts with suppliers and third-party partners are used to implement appropriate measures designed to meet the objectives of an organization's cybersecurity program and Cyber Supply Chain Risk Management Plan COBIT 5 APO10 01 APO10 02 APO10 03 APO10 04 APO10 05 ISA 62443-2-1 2009 4 3 2 6 4 4 3 2 6 7 ISO IEC 27001 2013 A 15 1 1 A 15 1 2 A 15 1 3 NIST SP 800-53 Rev 4 SA-9 SA-11 SA-12 PM9 ID SC-4 Suppliers and third-party partners are routinely assessed using audits test results or other forms of evaluations to confirm they are meeting their contractual obligations COBIT 5 APO10 01 APO10 03 APO10 04 APO10 05 MEA01 01 MEA01 02 MEA01 03 MEA01 04 MEA01 05 ISA 62443-2-1 2009 4 3 2 6 7 ISA 62443-3-3 2013 SR 6 1 ISO IEC 27001 2013 A 15 2 1 A 15 2 2 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 28 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References NIST SP 800-53 Rev 4 AU-2 AU-6 AU-12 AU16 PS-7 SA-9 SA-12 PROTECT PR Identity Management Authentication and Access Control PR AC Access to physical and logical assets and associated facilities is limited to authorized users processes and devices and is managed consistent with the assessed risk of unauthorized access to authorized activities and transactions ID SC-5 Response and recovery planning and testing are conducted with suppliers and third-party providers CIS CSC 19 20 COBIT 5 DSS04 04 ISA 62443-2-1 2009 4 3 2 5 7 4 3 4 5 11 ISA 62443-3-3 2013 SR 2 8 SR 3 3 SR 6 1 SR 7 3 SR 7 4 ISO IEC 27001 2013 A 17 1 3 NIST SP 800-53 Rev 4 CP-2 CP-4 IR-3 IR-4 IR-6 IR-8 IR-9 PR AC-1 Identities and credentials are issued managed verified revoked and audited for authorized devices users and processes CIS CSC 1 5 15 16 COBIT 5 DSS05 04 DSS06 03 ISA 62443-2-1 2009 4 3 3 5 1 ISA 62443-3-3 2013 SR 1 1 SR 1 2 SR 1 3 SR 1 4 SR 1 5 SR 1 7 SR 1 8 SR 1 9 e3 A 9 2 4 A 9 2 6 A 9 3 1 A 9 4 2 A 9 4 3 NIST SP 800-53 Rev 4 AC-1 AC-2 IA-1 IA-2 IA-3 IA-4 IA-5 IA-6 IA-7 IA-8 IA-9 IA-10 IA-11 PR AC-2 Physical access to assets is managed and protected COBIT 5 DSS01 04 DSS05 05 ISA 62443-2-1 2009 4 3 3 3 2 4 3 3 3 8 ISO IEC 27001 2013 A 11 1 1 A 11 1 2 A 11 1 3 A 11 1 4 A 11 1 5 A 11 1 6 A 11 2 1 A 11 2 3 A 11 2 5 A 11 2 6 A 11 2 7 A 11 2 8 NIST SP 800-53 Rev 4 PE-2 PE-3 PE-4 PE-5 PE-6 PE-8 PR AC-3 Remote access is managed CIS CSC 12 COBIT 5 APO13 01 DSS01 04 DSS05 03 ISA 62443-2-1 2009 4 3 3 6 6 ISA 62443-3-3 2013 SR 1 13 SR 2 6 ISO IEC 27001 2013 A 6 2 1 A 6 2 2 A 11 2 6 A 13 1 1 A 13 2 1 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 29 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References NIST SP 800-53 Rev 4 AC-1 AC-17 AC-19 AC-20 SC-15 PR AC-4 Access permissions and authorizations are managed incorporating the principles of least privilege and separation of duties CIS CSC 3 5 12 14 15 16 18 COBIT 5 DSS05 04 ISA 62443-2-1 2009 4 3 3 7 3 ISA 62443-3-3 2013 SR 2 1 ISO IEC 27001 2013 A 6 1 2 A 9 1 2 A 9 2 3 A 9 4 1 A 9 4 4 A 9 4 5 NIST SP 800-53 Rev 4 AC-1 AC-2 AC-3 AC5 AC-6 AC-14 AC-16 AC-24 PR AC-5 Network integrity is protected e g network segregation network segmentation CIS CSC 9 14 15 18 COBIT 5 DSS01 05 DSS05 02 ISA 62443-2-1 2009 4 3 3 4 ISA 62443-3-3 2013 SR 3 1 SR 3 8 ISO IEC 27001 2013 A 13 1 1 A 13 1 3 A 13 2 1 A 14 1 2 A 14 1 3 NIST SP 800-53 Rev 4 AC-4 AC-10 SC-7 PR AC-6 Identities are proofed and bound to credentials and asserted in interactions CIS CSC 16 COBIT 5 DSS05 04 DSS05 05 DSS05 07 DSS06 03 ISA 62443-2-1 2009 4 3 3 2 2 4 3 3 5 2 4 3 3 7 2 4 3 3 7 4 ISA 62443-3-3 2013 SR 1 1 SR 1 2 SR 1 4 SR 1 5 SR 1 9 SR 2 1 ISO IEC 27001 2013 A 7 1 1 A 9 2 1 NIST SP 800-53 Rev 4 AC-1 AC-2 AC-3 AC16 AC-19 AC-24 IA-1 IA-2 IA-4 IA-5 IA-8 PE-2 PS-3 PR AC-7 Users devices and other assets are authenticated e g single-factor multifactor commensurate with the risk of the transaction e g individuals' security and privacy risks and other organizational risks CIS CSC 1 12 15 16 COBIT 5 DSS05 04 DSS05 10 DSS06 10 ISA 62443-2-1 2009 4 3 3 6 1 4 3 3 6 2 4 3 3 6 3 4 3 3 6 4 4 3 3 6 5 4 3 3 6 6 4 3 3 6 7 4 3 3 6 8 4 3 3 6 9 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 30 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References ISA 62443-3-3 2013 SR 1 1 SR 1 2 SR 1 5 SR 1 7 SR 1 8 SR 1 9 SR 1 10 ISO IEC 27001 2013 A 9 2 1 A 9 2 4 A 9 3 1 A 9 4 2 A 9 4 3 A 18 1 4 NIST SP 800-53 Rev 4 AC-7 AC-8 AC-9 AC11 AC-12 AC-14 IA-1 IA-2 IA-3 IA-4 IA-5 IA-8 IA-9 IA-10 IA-11 Awareness and Training PR AT The organization's personnel and partners are provided cybersecurity awareness education and are trained to perform their cybersecurityrelated duties and responsibilities consistent with related policies procedures and agreements PR AT-1 All users are informed and trained CIS CSC 17 18 COBIT 5 APO07 03 BAI05 07 ISA 62443-2-1 2009 4 3 2 4 2 ISO IEC 27001 2013 A 7 2 2 A 12 2 1 NIST SP 800-53 Rev 4 AT-2 PM-13 PR AT-2 Privileged users understand their roles and responsibilities CIS CSC 5 17 18 COBIT 5 APO07 02 DSS05 04 DSS06 03 ISA 62443-2-1 2009 4 3 2 4 2 4 3 2 4 3 ISO IEC 27001 2013 A 6 1 1 A 7 2 2 NIST SP 800-53 Rev 4 AT-3 PM-13 PR AT-3 Third-party stakeholders e g suppliers customers partners understand their roles and responsibilities CIS CSC 17 COBIT 5 APO07 03 APO07 06 APO10 04 APO10 05 ISA 62443-2-1 2009 4 3 2 4 2 ISO IEC 27001 2013 A 6 1 1 A 7 2 1 A 7 2 2 NIST SP 800-53 Rev 4 PS-7 SA-9 SA-16 PR AT-4 Senior executives understand their roles and responsibilities CIS CSC 17 19 COBIT 5 EDM01 01 APO01 02 APO07 03 ISA 62443-2-1 2009 4 3 2 4 2 ISO IEC 27001 2013 A 6 1 1 A 7 2 2 NIST SP 800-53 Rev 4 AT-3 PM-13 PR AT-5 Physical and cybersecurity personnel understand their roles and responsibilities CIS CSC 17 COBIT 5 APO07 03 ISA 62443-2-1 2009 4 3 2 4 2 ISO IEC 27001 2013 A 6 1 1 A 7 2 2 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 31 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References NIST SP 800-53 Rev 4 AT-3 IR-2 PM-13 Data Security PR DS Information and records data are managed consistent with the organization's risk strategy to protect the confidentiality integrity and availability of information PR DS-1 Data-at-rest is protected CIS CSC 13 14 COBIT 5 APO01 06 BAI02 01 BAI06 01 DSS04 07 DSS05 03 DSS06 06 ISA 62443-3-3 2013 SR 3 4 SR 4 1 ISO IEC 27001 2013 A 8 2 3 NIST SP 800-53 Rev 4 MP-8 SC-12 SC-28 PR DS-2 Data-in-transit is protected CIS CSC 13 14 COBIT 5 APO01 06 DSS05 02 DSS06 06 ISA 62443-3-3 2013 SR 3 1 SR 3 8 SR 4 1 SR 4 2 ISO IEC 27001 2013 A 8 2 3 A 13 1 1 A 13 2 1 A 13 2 3 A 14 1 2 A 14 1 3 NIST SP 800-53 Rev 4 SC-8 SC-11 SC-12 PR DS-3 Assets are formally managed throughout removal transfers and disposition CIS CSC 1 COBIT 5 BAI09 03 ISA 62443-2-1 2009 4 3 3 3 9 4 3 4 4 1 ISA 62443-3-3 2013 SR 4 2 ISO IEC 27001 2013 A 8 2 3 A 8 3 1 A 8 3 2 A 8 3 3 A 11 2 5 A 11 2 7 NIST SP 800-53 Rev 4 CM-8 MP-6 PE-16 PR DS-4 Adequate capacity to ensure availability is maintained CIS CSC 1 2 13 COBIT 5 APO13 01 BAI04 04 ISA 62443-3-3 2013 SR 7 1 SR 7 2 ISO IEC 27001 2013 A 12 1 3 A 17 2 1 NIST SP 800-53 Rev 4 AU-4 CP-2 SC-5 PR DS-5 Protections against data leaks are implemented CIS CSC 13 COBIT 5 APO01 06 DSS05 04 DSS05 07 DSS06 02 ISA 62443-3-3 2013 SR 5 2 ISO IEC 27001 2013 A 6 1 2 A 7 1 1 A 7 1 2 A 7 3 1 A 8 2 2 A 8 2 3 A 9 1 1 A 9 1 2 A 9 2 3 A 9 4 1 A 9 4 4 A 9 4 5 A 10 1 1 A 11 1 4 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 32 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References A 11 1 5 A 11 2 1 A 13 1 1 A 13 1 3 A 13 2 1 A 13 2 3 A 13 2 4 A 14 1 2 A 14 1 3 NIST SP 800-53 Rev 4 AC-4 AC-5 AC-6 PE19 PS-3 PS-6 SC-7 SC-8 SC-13 SC-31 SI-4 Information Protection Processes and Procedures PR IP Security policies that address purpose scope roles responsibilities management commitment and coordination among organizational entities processes and procedures are maintained and used to manage protection of information systems and assets PR DS-6 Integrity checking mechanisms are used to verify software firmware and information integrity CIS CSC 2 3 COBIT 5 APO01 06 BAI06 01 DSS06 02 ISA 62443-3-3 2013 SR 3 1 SR 3 3 SR 3 4 SR 3 8 ISO IEC 27001 2013 A 12 2 1 A 12 5 1 A 14 1 2 A 14 1 3 A 14 2 4 NIST SP 800-53 Rev 4 SC-16 SI-7 PR DS-7 The development and testing environment s are separate from the production environment CIS CSC 18 20 COBIT 5 BAI03 08 BAI07 04 ISO IEC 27001 2013 A 12 1 4 NIST SP 800-53 Rev 4 CM-2 PR DS-8 Integrity checking mechanisms are used to verify hardware integrity COBIT 5 BAI03 05 ISA 62443-2-1 2009 4 3 4 4 4 ISO IEC 27001 2013 A 11 2 4 NIST SP 800-53 Rev 4 SA-10 SI-7 PR IP-1 A baseline configuration of information technology industrial control systems is created and maintained incorporating security principles e g concept of least functionality CIS CSC 3 9 11 COBIT 5 BAI10 01 BAI10 02 BAI10 03 BAI10 05 ISA 62443-2-1 2009 4 3 4 3 2 4 3 4 3 3 ISA 62443-3-3 2013 SR 7 6 ISO IEC 27001 2013 A 12 1 2 A 12 5 1 A 12 6 2 A 14 2 2 A 14 2 3 A 14 2 4 NIST SP 800-53 Rev 4 CM-2 CM-3 CM-4 CM5 CM-6 CM-7 CM-9 SA-10 PR IP-2 A System Development Life Cycle to manage systems is implemented CIS CSC 18 COBIT 5 APO13 01 BAI03 01 BAI03 02 BAI03 03 ISA 62443-2-1 2009 4 3 4 3 3 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 33 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References ISO IEC 27001 2013 A 6 1 5 A 14 1 1 A 14 2 1 A 14 2 5 NIST SP 800-53 Rev 4 PL-8 SA-3 SA-4 SA-8 SA-10 SA-11 SA-12 SA-15 SA-17 SI-12 SI13 SI-14 SI-16 SI-17 PR IP-3 Configuration change control processes are in place CIS CSC 3 11 COBIT 5 BAI01 06 BAI06 01 ISA 62443-2-1 2009 4 3 4 3 2 4 3 4 3 3 ISA 62443-3-3 2013 SR 7 6 ISO IEC 27001 2013 A 12 1 2 A 12 5 1 A 12 6 2 A 14 2 2 A 14 2 3 A 14 2 4 NIST SP 800-53 Rev 4 CM-3 CM-4 SA-10 PR IP-4 Backups of information are conducted maintained and tested CIS CSC 10 COBIT 5 APO13 01 DSS01 01 DSS04 07 ISA 62443-2-1 2009 4 3 4 3 9 ISA 62443-3-3 2013 SR 7 3 SR 7 4 ISO IEC 27001 2013 A 12 3 1 A 17 1 2 A 17 1 3 A 18 1 3 NIST SP 800-53 Rev 4 CP-4 CP-6 CP-9 PR IP-5 Policy and regulations regarding the physical operating environment for organizational assets are met COBIT 5 DSS01 04 DSS05 05 ISA 62443-2-1 2009 4 3 3 3 1 4 3 3 3 2 4 3 3 3 3 4 3 3 3 5 4 3 3 3 6 ISO IEC 27001 2013 A 11 1 4 A 11 2 1 A 11 2 2 A 11 2 3 NIST SP 800-53 Rev 4 PE-10 PE-12 PE-13 PE14 PE-15 PE-18 PR IP-6 Data is destroyed according to policy COBIT 5 BAI09 03 DSS05 06 ISA 62443-2-1 2009 4 3 4 4 4 ISA 62443-3-3 2013 SR 4 2 ISO IEC 27001 2013 A 8 2 3 A 8 3 1 A 8 3 2 A 11 2 7 NIST SP 800-53 Rev 4 MP-6 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 34 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References PR IP-7 Protection processes are improved COBIT 5 APO11 06 APO12 06 DSS04 05 ISA 62443-2-1 2009 4 4 3 1 4 4 3 2 4 4 3 3 4 4 3 4 4 4 3 5 4 4 3 6 4 4 3 7 4 4 3 8 ISO IEC 27001 2013 A 16 1 6 Clause 9 Clause 10 NIST SP 800-53 Rev 4 CA-2 CA-7 CP-2 IR-8 PL-2 PM-6 PR IP-8 Effectiveness of protection technologies is shared COBIT 5 BAI08 04 DSS03 04 ISO IEC 27001 2013 A 16 1 6 NIST SP 800-53 Rev 4 AC-21 CA-7 SI-4 PR IP-9 Response plans Incident Response and Business Continuity and recovery plans Incident Recovery and Disaster Recovery are in place and managed CIS CSC 19 COBIT 5 APO12 06 DSS04 03 ISA 62443-2-1 2009 4 3 2 5 3 4 3 4 5 1 ISO IEC 27001 2013 A 16 1 1 A 17 1 1 A 17 1 2 A 17 1 3 NIST SP 800-53 Rev 4 CP-2 CP-7 CP-12 CP13 IR-7 IR-8 IR-9 PE-17 PR IP-10 Response and recovery plans are tested CIS CSC 19 20 COBIT 5 DSS04 04 ISA 62443-2-1 2009 4 3 2 5 7 4 3 4 5 11 ISA 62443-3-3 2013 SR 3 3 ISO IEC 27001 2013 A 17 1 3 NIST SP 800-53 Rev 4 CP-4 IR-3 PM-14 PR IP-11 Cybersecurity is included in human resources practices e g deprovisioning personnel screening CIS CSC 5 16 COBIT 5 APO07 01 APO07 02 APO07 03 APO07 04 APO07 05 ISA 62443-2-1 2009 4 3 3 2 1 4 3 3 2 2 4 3 3 2 3 ISO IEC 27001 2013 A 7 1 1 A 7 1 2 A 7 2 1 A 7 2 2 A 7 2 3 A 7 3 1 A 8 1 4 NIST SP 800-53 Rev 4 PS-1 PS-2 PS-3 PS-4 PS-5 PS-6 PS-7 PS-8 SA-21 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 35 April 16 2018 Function Category Maintenance PR MA Maintenance and repairs of industrial control and information system components are performed consistent with policies and procedures Protective Technology PR PT Technical security solutions are managed to ensure the security and resilience of systems and assets consistent with related policies procedures and agreements Cybersecurity Framework Subcategory Version 1 1 Informative References PR IP-12 A vulnerability management plan is developed and implemented CIS CSC 4 18 20 COBIT 5 BAI03 10 DSS05 01 DSS05 02 ISO IEC 27001 2013 A 12 6 1 A 14 2 3 A 16 1 3 A 18 2 2 A 18 2 3 NIST SP 800-53 Rev 4 RA-3 RA-5 SI-2 PR MA-1 Maintenance and repair of organizational assets are performed and logged with approved and controlled tools COBIT 5 BAI03 10 BAI09 02 BAI09 03 DSS01 05 ISA 62443-2-1 2009 4 3 3 3 7 ISO IEC 27001 2013 A 11 1 2 A 11 2 4 A 11 2 5 A 11 2 6 NIST SP 800-53 Rev 4 MA-2 MA-3 MA-5 MA-6 PR MA-2 Remote maintenance of organizational assets is approved logged and performed in a manner that prevents unauthorized access CIS CSC 3 5 COBIT 5 DSS05 04 ISA 62443-2-1 2009 4 3 3 6 5 4 3 3 6 6 4 3 3 6 7 4 3 3 6 8 ISO IEC 27001 2013 A 11 2 4 A 15 1 1 A 15 2 1 NIST SP 800-53 Rev 4 MA-4 PR PT-1 Audit log records are determined documented implemented and reviewed in accordance with policy CIS CSC 1 3 5 6 14 15 16 COBIT 5 APO11 04 BAI03 05 DSS05 04 DSS05 07 MEA02 01 ISA 62443-2-1 2009 4 3 3 3 9 4 3 3 5 8 4 3 4 4 7 4 4 2 1 4 4 2 2 4 4 2 4 ISA 62443-3-3 2013 SR 2 8 SR 2 9 SR 2 10 SR 2 11 SR 2 12 ISO IEC 27001 2013 A 12 4 1 A 12 4 2 A 12 4 3 A 12 4 4 A 12 7 1 NIST SP 800-53 Rev 4 AU Family PR PT-2 Removable media is protected and its use restricted according to policy CIS CSC 8 13 COBIT 5 APO13 01 DSS05 02 DSS05 06 ISA 62443-3-3 2013 SR 2 3 ISO IEC 27001 2013 A 8 2 1 A 8 2 2 A 8 2 3 A 8 3 1 A 8 3 3 A 11 2 9 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 36 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References NIST SP 800-53 Rev 4 MP-2 MP-3 MP-4 MP5 MP-7 MP-8 DETECT DE Anomalies and Events DE AE Anomalous activity is detected PR PT-3 The principle of least functionality is incorporated by configuring systems to provide only essential capabilities CIS CSC 3 11 14 COBIT 5 DSS05 02 DSS05 05 DSS06 06 ISA 62443-2-1 2009 4 3 3 5 1 4 3 3 5 2 4 3 3 5 3 4 3 3 5 4 4 3 3 5 5 4 3 3 5 6 4 3 3 5 7 4 3 3 5 8 4 3 3 6 1 4 3 3 6 2 4 3 3 6 3 4 3 3 6 4 4 3 3 6 5 4 3 3 6 6 4 3 3 6 7 4 3 3 6 8 4 3 3 6 9 4 3 3 7 1 4 3 3 7 2 4 3 3 7 3 4 3 3 7 4 ISA 62443-3-3 2013 SR 1 1 SR 1 2 SR 1 3 SR 1 4 SR 1 5 SR 1 6 SR 1 7 SR 1 8 SR 1 9 SR 1 10 SR 1 11 SR 1 12 SR 1 13 SR 2 1 SR 2 2 SR 2 3 SR 2 4 SR 2 5 SR 2 6 SR 2 7 ISO IEC 27001 2013 A 9 1 2 NIST SP 800-53 Rev 4 AC-3 CM-7 PR PT-4 Communications and control networks are protected CIS CSC 8 12 15 COBIT 5 DSS05 02 APO13 01 ISA 62443-3-3 2013 SR 3 1 SR 3 5 SR 3 8 SR 4 1 SR 4 3 SR 5 1 SR 5 2 SR 5 3 SR 7 1 SR 7 6 ISO IEC 27001 2013 A 13 1 1 A 13 2 1 A 14 1 3 NIST SP 800-53 Rev 4 AC-4 AC-17 AC-18 CP-8 SC-7 SC-19 SC-20 SC-21 SC-22 SC-23 SC-24 SC-25 SC-29 SC-32 SC-36 SC-37 SC38 SC-39 SC-40 SC-41 SC-43 PR PT-5 Mechanisms e g failsafe load balancing hot swap are implemented to achieve resilience requirements in normal and adverse situations COBIT 5 BAI04 01 BAI04 02 BAI04 03 BAI04 04 BAI04 05 DSS01 05 ISA 62443-2-1 2009 4 3 2 5 2 ISA 62443-3-3 2013 SR 7 1 SR 7 2 ISO IEC 27001 2013 A 17 1 2 A 17 2 1 NIST SP 800-53 Rev 4 CP-7 CP-8 CP-11 CP13 PL-8 SA-14 SC-6 DE AE-1 A baseline of network operations and expected data flows for CIS CSC 1 4 6 12 13 15 16 COBIT 5 DSS03 01 ISA 62443-2-1 2009 4 4 3 3 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 37 April 16 2018 Function Category and the potential impact of events is understood Security Continuous Monitoring DE CM The information system and assets are monitored to identify cybersecurity events and verify Cybersecurity Framework Subcategory Version 1 1 Informative References users and systems is established and managed ISO IEC 27001 2013 A 12 1 1 A 12 1 2 A 13 1 1 A 13 1 2 NIST SP 800-53 Rev 4 AC-4 CA-3 CM-2 SI-4 DE AE-2 Detected events are analyzed to understand attack targets and methods CIS CSC 3 6 13 15 COBIT 5 DSS05 07 ISA 62443-2-1 2009 4 3 4 5 6 4 3 4 5 7 4 3 4 5 8 ISA 62443-3-3 2013 SR 2 8 SR 2 9 SR 2 10 SR 2 11 SR 2 12 SR 3 9 SR 6 1 SR 6 2 ISO IEC 27001 2013 A 12 4 1 A 16 1 1 A 16 1 4 NIST SP 800-53 Rev 4 AU-6 CA-7 IR-4 SI-4 DE AE-3 Event data are collected and correlated from multiple sources and sensors CIS CSC 1 3 4 5 6 7 8 11 12 13 14 15 16 COBIT 5 BAI08 02 ISA 62443-3-3 2013 SR 6 1 ISO IEC 27001 2013 A 12 4 1 A 16 1 7 NIST SP 800-53 Rev 4 AU-6 CA-7 IR-4 IR-5 IR-8 SI-4 DE AE-4 Impact of events is determined CIS CSC 4 6 COBIT 5 APO12 06 DSS03 01 ISO IEC 27001 2013 A 16 1 4 NIST SP 800-53 Rev 4 CP-2 IR-4 RA-3 SI-4 DE AE-5 Incident alert thresholds are established CIS CSC 6 19 COBIT 5 APO12 06 DSS03 01 ISA 62443-2-1 2009 4 2 3 10 ISO IEC 27001 2013 A 16 1 4 NIST SP 800-53 Rev 4 IR-4 IR-5 IR-8 DE CM-1 The network is monitored to detect potential cybersecurity events CIS CSC 1 7 8 12 13 15 16 COBIT 5 DSS01 03 DSS03 05 DSS05 07 ISA 62443-3-3 2013 SR 6 2 NIST SP 800-53 Rev 4 AC-2 AU-12 CA-7 CM3 SC-5 SC-7 SI-4 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 38 April 16 2018 Function Cybersecurity Framework Version 1 1 Category Subcategory Informative References the effectiveness of protective measures DE CM-2 The physical environment is monitored to detect potential cybersecurity events COBIT 5 DSS01 04 DSS01 05 ISA 62443-2-1 2009 4 3 3 3 8 ISO IEC 27001 2013 A 11 1 1 A 11 1 2 NIST SP 800-53 Rev 4 CA-7 PE-3 PE-6 PE-20 DE CM-3 Personnel activity is monitored to detect potential cybersecurity events CIS CSC 5 7 14 16 COBIT 5 DSS05 07 ISA 62443-3-3 2013 SR 6 2 ISO IEC 27001 2013 A 12 4 1 A 12 4 3 NIST SP 800-53 Rev 4 AC-2 AU-12 AU-13 CA-7 CM-10 CM-11 DE CM-4 Malicious code is detected CIS CSC 4 7 8 12 COBIT 5 DSS05 01 ISA 62443-2-1 2009 4 3 4 3 8 ISA 62443-3-3 2013 SR 3 2 ISO IEC 27001 2013 A 12 2 1 NIST SP 800-53 Rev 4 SI-3 SI-8 DE CM-5 Unauthorized mobile code is detected CIS CSC 7 8 COBIT 5 DSS05 01 ISA 62443-3-3 2013 SR 2 4 ISO IEC 27001 2013 A 12 5 1 A 12 6 2 NIST SP 800-53 Rev 4 SC-18 SI-4 SC-44 DE CM-6 External service provider activity is monitored to detect potential cybersecurity events COBIT 5 APO07 06 APO10 05 ISO IEC 27001 2013 A 14 2 7 A 15 2 1 NIST SP 800-53 Rev 4 CA-7 PS-7 SA-4 SA-9 SI-4 DE CM-7 Monitoring for unauthorized personnel connections devices and software is performed CIS CSC 1 2 3 5 9 12 13 15 16 COBIT 5 DSS05 02 DSS05 05 ISO IEC 27001 2013 A 12 4 1 A 14 2 7 A 15 2 1 NIST SP 800-53 Rev 4 AU-12 CA-7 CM-3 CM-8 PE-3 PE-6 PE-20 SI-4 DE CM-8 Vulnerability scans are performed CIS CSC 4 20 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 39 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References COBIT 5 BAI03 10 DSS05 01 ISA 62443-2-1 2009 4 2 3 1 4 2 3 7 ISO IEC 27001 2013 A 12 6 1 NIST SP 800-53 Rev 4 RA-5 Detection Processes DE DP Detection processes and procedures are maintained and tested to ensure awareness of anomalous events DE DP-1 Roles and responsibilities for detection are well defined to ensure accountability CIS CSC 19 COBIT 5 APO01 02 DSS05 01 DSS06 03 ISA 62443-2-1 2009 4 4 3 1 ISO IEC 27001 2013 A 6 1 1 A 7 2 2 NIST SP 800-53 Rev 4 CA-2 CA-7 PM-14 DE DP-2 Detection activities comply with all applicable requirements COBIT 5 DSS06 01 MEA03 03 MEA03 04 ISA 62443-2-1 2009 4 4 3 2 ISO IEC 27001 2013 A 18 1 4 A 18 2 2 A 18 2 3 NIST SP 800-53 Rev 4 AC-25 CA-2 CA-7 SA18 SI-4 PM-14 DE DP-3 Detection processes are tested COBIT 5 APO13 02 DSS05 02 ISA 62443-2-1 2009 4 4 3 2 ISA 62443-3-3 2013 SR 3 3 ISO IEC 27001 2013 A 14 2 8 NIST SP 800-53 Rev 4 CA-2 CA-7 PE-3 SI-3 SI-4 PM-14 DE DP-4 Event detection information is communicated CIS CSC 19 COBIT 5 APO08 04 APO12 06 DSS02 05 ISA 62443-2-1 2009 4 3 4 5 9 ISA 62443-3-3 2013 SR 6 1 ISO IEC 27001 2013 A 16 1 2 A 16 1 3 NIST SP 800-53 Rev 4 AU-6 CA-2 CA-7 RA5 SI-4 DE DP-5 Detection processes are continuously improved COBIT 5 APO11 06 APO12 06 DSS04 05 ISA 62443-2-1 2009 4 4 3 4 ISO IEC 27001 2013 A 16 1 6 NIST SP 800-53 Rev 4 CA-2 CA-7 PL-2 RA5 SI-4 PM-14 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 40 April 16 2018 Function Category RESPOND RS Response Planning RS RP Response processes and procedures are executed and maintained to ensure response to detected cybersecurity incidents Communications RS CO Response activities are coordinated with internal and external stakeholders e g external support from law enforcement agencies Cybersecurity Framework Subcategory Version 1 1 Informative References RS RP-1 Response plan is executed during or after an incident CIS CSC 19 COBIT 5 APO12 06 BAI01 10 ISA 62443-2-1 2009 4 3 4 5 1 ISO IEC 27001 2013 A 16 1 5 NIST SP 800-53 Rev 4 CP-2 CP-10 IR-4 IR-8 RS CO-1 Personnel know their roles and order of operations when a response is needed CIS CSC 19 COBIT 5 EDM03 02 APO01 02 APO12 03 ISA 62443-2-1 2009 4 3 4 5 2 4 3 4 5 3 4 3 4 5 4 ISO IEC 27001 2013 A 6 1 1 A 7 2 2 A 16 1 1 NIST SP 800-53 Rev 4 CP-2 CP-3 IR-3 IR-8 RS CO-2 Incidents are reported consistent with established criteria CIS CSC 19 COBIT 5 DSS01 03 ISA 62443-2-1 2009 4 3 4 5 5 ISO IEC 27001 2013 A 6 1 3 A 16 1 2 NIST SP 800-53 Rev 4 AU-6 IR-6 IR-8 RS CO-3 Information is shared consistent with response plans CIS CSC 19 COBIT 5 DSS03 04 ISA 62443-2-1 2009 4 3 4 5 2 ISO IEC 27001 2013 A 16 1 2 Clause 7 4 Clause 16 1 2 NIST SP 800-53 Rev 4 CA-2 CA-7 CP-2 IR-4 IR-8 PE-6 RA-5 SI-4 RS CO-4 Coordination with stakeholders occurs consistent with response plans CIS CSC 19 COBIT 5 DSS03 04 ISA 62443-2-1 2009 4 3 4 5 5 ISO IEC 27001 2013 Clause 7 4 NIST SP 800-53 Rev 4 CP-2 IR-4 IR-8 RS CO-5 Voluntary information sharing occurs with external stakeholders to achieve broader cybersecurity situational awareness CIS CSC 19 COBIT 5 BAI08 04 ISO IEC 27001 2013 A 6 1 4 NIST SP 800-53 Rev 4 SI-5 PM-15 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 41 April 16 2018 Function Category Analysis RS AN Analysis is conducted to ensure effective response and support recovery activities Mitigation RS MI Activities are performed to prevent expansion of an event mitigate its effects and resolve the incident Cybersecurity Framework Subcategory Version 1 1 Informative References RS AN-1 Notifications from detection systems are investigated CIS CSC 4 6 8 19 COBIT 5 DSS02 04 DSS02 07 ISA 62443-2-1 2009 4 3 4 5 6 4 3 4 5 7 4 3 4 5 8 ISA 62443-3-3 2013 SR 6 1 ISO IEC 27001 2013 A 12 4 1 A 12 4 3 A 16 1 5 NIST SP 800-53 Rev 4 AU-6 CA-7 IR-4 IR-5 PE-6 SI-4 RS AN-2 The impact of the incident is understood COBIT 5 DSS02 02 ISA 62443-2-1 2009 4 3 4 5 6 4 3 4 5 7 4 3 4 5 8 ISO IEC 27001 2013 A 16 1 4 A 16 1 6 NIST SP 800-53 Rev 4 CP-2 IR-4 RS AN-3 Forensics are performed COBIT 5 APO12 06 DSS03 02 DSS05 07 ISA 62443-3-3 2013 SR 2 8 SR 2 9 SR 2 10 SR 2 11 SR 2 12 SR 3 9 SR 6 1 ISO IEC 27001 2013 A 16 1 7 NIST SP 800-53 Rev 4 AU-7 IR-4 RS AN-4 Incidents are categorized consistent with response plans CIS CSC 19 COBIT 5 DSS02 02 ISA 62443-2-1 2009 4 3 4 5 6 ISO IEC 27001 2013 A 16 1 4 NIST SP 800-53 Rev 4 CP-2 IR-4 IR-5 IR-8 RS AN-5 Processes are established to receive analyze and respond to vulnerabilities disclosed to the organization from internal and external sources e g internal testing security bulletins or security researchers CIS CSC 4 19 COBIT 5 EDM03 02 DSS05 07 NIST SP 800-53 Rev 4 SI-5 PM-15 RS MI-1 Incidents are contained CIS CSC 19 COBIT 5 APO12 06 ISA 62443-2-1 2009 4 3 4 5 6 ISA 62443-3-3 2013 SR 5 1 SR 5 2 SR 5 4 ISO IEC 27001 2013 A 12 2 1 A 16 1 5 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 42 April 16 2018 Function Category Cybersecurity Framework Subcategory Version 1 1 Informative References NIST SP 800-53 Rev 4 IR-4 RECOVER RC RS MI-2 Incidents are mitigated CIS CSC 4 19 COBIT 5 APO12 06 ISA 62443-2-1 2009 4 3 4 5 6 4 3 4 5 10 ISO IEC 27001 2013 A 12 2 1 A 16 1 5 NIST SP 800-53 Rev 4 IR-4 RS MI-3 Newly identified vulnerabilities are mitigated or documented as accepted risks CIS CSC 4 COBIT 5 APO12 06 ISO IEC 27001 2013 A 12 6 1 NIST SP 800-53 Rev 4 CA-7 RA-3 RA-5 Improvements RS IM Organizational response activities are improved by incorporating lessons learned from current and previous detection response activities RS IM-1 Response plans incorporate lessons learned COBIT 5 BAI01 13 ISA 62443-2-1 2009 4 3 4 5 10 4 4 3 4 ISO IEC 27001 2013 A 16 1 6 Clause 10 NIST SP 800-53 Rev 4 CP-2 IR-4 IR-8 RS IM-2 Response strategies are updated Recovery Planning RC RP Recovery processes and procedures are executed and maintained to ensure restoration of systems or assets affected by cybersecurity incidents RC RP-1 Recovery plan is executed during or after a cybersecurity incident COBIT 5 BAI01 13 DSS04 08 ISO IEC 27001 2013 A 16 1 6 Clause 10 NIST SP 800-53 Rev 4 CP-2 IR-4 IR-8 CIS CSC 10 COBIT 5 APO12 06 DSS02 05 DSS03 04 ISO IEC 27001 2013 A 16 1 5 NIST SP 800-53 Rev 4 CP-10 IR-4 IR-8 Improvements RC IM Recovery planning and processes are improved by incorporating lessons learned into future activities RC IM-1 Recovery plans incorporate lessons learned COBIT 5 APO12 06 BAI05 07 DSS04 08 ISA 62443-2-1 2009 4 4 3 4 ISO IEC 27001 2013 A 16 1 6 Clause 10 NIST SP 800-53 Rev 4 CP-2 IR-4 IR-8 RC IM-2 Recovery strategies are updated COBIT 5 APO12 06 BAI07 08 ISO IEC 27001 2013 A 16 1 6 Clause 10 NIST SP 800-53 Rev 4 CP-2 IR-4 IR-8 This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 43 April 16 2018 Function Category Communications RC CO Restoration activities are coordinated with internal and external parties e g coordinating centers Internet Service Providers owners of attacking systems victims other CSIRTs and vendors Cybersecurity Framework Subcategory Version 1 1 Informative References RC CO-1 Public relations are managed COBIT 5 EDM03 02 ISO IEC 27001 2013 A 6 1 4 Clause 7 4 RC CO-2 Reputation is repaired after an incident COBIT 5 MEA03 02 ISO IEC 27001 2013 Clause 7 4 RC CO-3 Recovery activities are communicated to internal and external stakeholders as well as executive and management teams COBIT 5 APO12 06 ISO IEC 27001 2013 Clause 7 4 NIST SP 800-53 Rev 4 CP-2 IR-4 Information regarding Informative References described in Appendix A may be found at the following locations o o o Control Objectives for Information and Related Technology COBIT http www isaca org COBIT Pages default aspx CIS Critical Security Controls for Effective Cyber Defense CIS Controls https www cisecurity org American National Standards Institute International Society of Automation ANSI ISA -62443-2-1 99 02 01 -2009 Security for Industrial Automation and Control Systems Establishing an Industrial Automation and Control Systems Security Program https www isa org templates one-column aspx pageid 111294 productId 116731 o ANSI ISA-62443-3-3 99 03 03 -2013 Security for Industrial Automation and Control Systems System Security Requirements and Security Levels https www isa org templates one-column aspx pageid 111294 productId 116785 o ISO IEC 27001 Information technology -- Security techniques -- Information security management systems -- Requirements https www iso org standard 54534 html o NIST SP 800-53 Rev 4 - NIST Special Publication 800-53 Revision 4 Security and Privacy Controls for Federal Information Systems and Organizations April 2013 including updates as of January 22 2015 https doi org 10 6028 NIST SP 800-53r4 Informative References are only mapped to the control level though any control enhancement might be found useful in achieving a subcategory outcome Mappings between the Framework Core Subcategories and the specified sections in the Informative References are not intended to definitively determine whether the specified sections in the Informative References provide the desired Subcategory outcome Informative References are not exhaustive in that not every element e g control requirement of a given Informative Reference is mapped to Framework Core Subcategories This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 44 April 16 2018 Cybersecurity Framework Version 1 1 Appendix B Glossary This appendix defines selected terms used in the publication Table 3 Framework Glossary Buyer The people or organizations that consume a given product or service Category The subdivision of a Function into groups of cybersecurity outcomes closely tied to programmatic needs and particular activities Examples of Categories include Asset Management Identity Management and Access Control and Detection Processes Critical Infrastructure Systems and assets whether physical or virtual so vital to the United States that the incapacity or destruction of such systems and assets would have a debilitating impact on cybersecurity national economic security national public health or safety or any combination of those matters Cybersecurity The process of protecting information by preventing detecting and responding to attacks Cybersecurity Event A cybersecurity change that may have an impact on organizational operations including mission capabilities or reputation Cybersecurity Incident A cybersecurity event that has been determined to have an impact on the organization prompting the need for response and recovery Detect function Develop and implement the appropriate activities to identify the occurrence of a cybersecurity event Framework A risk-based approach to reducing cybersecurity risk composed of three parts the Framework Core the Framework Profile and the Framework Implementation Tiers Also known as the Cybersecurity Framework Framework Core A set of cybersecurity activities and references that are common across critical infrastructure sectors and are organized around particular outcomes The Framework Core comprises four types of elements Functions Categories Subcategories and Informative References Framework Implementation Tier A lens through which to view the characteristics of an organization's approach to risk--how an organization views cybersecurity risk and the processes in place to manage that risk This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 45 April 16 2018 Cybersecurity Framework Version 1 1 Framework Profile A representation of the outcomes that a particular system or organization has selected from the Framework Categories and Subcategories Function One of the main components of the Framework Functions provide the highest level of structure for organizing basic cybersecurity activities into Categories and Subcategories The five functions are Identify Protect Detect Respond and Recover Identify function Develop the organizational understanding to manage cybersecurity risk to systems assets data and capabilities Informative Reference A specific section of standards guidelines and practices common among critical infrastructure sectors that illustrates a method to achieve the outcomes associated with each Subcategory An example of an Informative Reference is ISO IEC 27001 Control A 10 8 3 which supports the Data-in-transit is protected Subcategory of the Data Security Category in the Protect function Mobile Code A program e g script macro or other portable instruction that can be shipped unchanged to a heterogeneous collection of platforms and executed with identical semantics Protect function Develop and implement the appropriate safeguards to ensure delivery of critical infrastructure services Privileged User A user that is authorized and therefore trusted to perform securityrelevant functions that ordinary users are not authorized to perform Recover function Develop and implement the appropriate activities to maintain plans for resilience and to restore any capabilities or services that were impaired due to a cybersecurity event Respond function Develop and implement the appropriate activities to take action regarding a detected cybersecurity event Risk A measure of the extent to which an entity is threatened by a potential circumstance or event and typically a function of i the adverse impacts that would arise if the circumstance or event occurs and ii the likelihood of occurrence Risk Management The process of identifying assessing and responding to risk Subcategory The subdivision of a Category into specific outcomes of technical and or management activities Examples of Subcategories include External information systems are catalogued Data-at-rest is protected and Notifications from detection systems are investigated This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 46 April 16 2018 Cybersecurity Framework Version 1 1 Supplier Product and service providers used for an organization's internal purposes e g IT infrastructure or integrated into the products of services provided to that organization's Buyers Taxonomy A scheme of classification This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 47 April 16 2018 Cybersecurity Framework Version 1 1 Appendix C Acronyms This appendix defines selected acronyms used in the publication ANSI CEA CIS COBIT CPS CSC DHS EO ICS IEC IoT IR ISA ISAC ISAO ISO IT NIST OT PII RFI RMP SCRM SP American National Standards Institute Cybersecurity Enhancement Act of 2014 Center for Internet Security Control Objectives for Information and Related Technology Cyber-Physical Systems Critical Security Control Department of Homeland Security Executive Order Industrial Control Systems International Electrotechnical Commission Internet of Things Interagency Report International Society of Automation Information Sharing and Analysis Center Information Sharing and Analysis Organization International Organization for Standardization Information Technology National Institute of Standards and Technology Operational Technology Personally Identifiable Information Request for Information Risk Management Process Supply Chain Risk Management Special Publication This publication is available free of charge from https doi org 10 6028 NIST CSWP 04162018 48 This document is from the holdings of The National Security Archive Suite 701 Gelman Library The George Washington University 2130 H Street NW Washington D C 20037 Phone 202 994-7000 Fax 202 994-7005 nsarchiv@gwu edu