Cybersecurity Maturity Model Certification – Levels 1-3

DOMAIN CAPABILITY LEVEL 1 LEVEL 2 LEVEL 3
1 ACCESS CONTROL (AC) C001 – Establish system access requirements AC.1.001 – Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems): NIST SP 800-171 Rev 2 3.1.1 AC.2.005 – Provide privacy and security notices consistent with applicable CUI rules: NIST SP 800-171 Rev 2 3.1.9 N/A
AC.2.006 – Limit use of portable storage devices on external systems: NIST SP 800-171 Rev 2 3.1.21
C002 – Control internal system access AC.1.002 – Limit information system access to the types of transactions and functions that authorized users are permitted to execute: NIST SP 800-171 Rev 2 3.1.2 AC.2.007 – Employ the principle of least privilege, including for specific security functions and privileged accounts: NIST SP 800-171 Rev 2 3.1.5 AC.3.017 – Separate the duties of individuals to reduce the risk of malevolent activity without collusion: NIST SP 800-171 Rev 2 3.1.4
AC.2.008 – Use non-privileged accounts or roles when accessing nonsecurity functions: NIST SP 800-171 Rev 2 3.1.6 AC.3.018 – Prevent non-privileged users from executing privileged functions and capture the execution of such functions in audit logs: NIST SP 800-171 Rev 2 3.1.7
AC.2.009 – Limit unsuccessful logon attempts: NIST SP 800-171 Rev 2 3.1.8 AC.3.019 – Terminate (automatically) user sessions after a defined condition: NIST SP 800-171 Rev 2 3.1.11
AC.2.010 – Use session lock with pattern-hiding displays to prevent access and viewing of data after a period of inactivity: NIST SP 800-171 Rev 2 3.1.10 AC.3.012 – Protect wireless access using authentication and encryption: NIST SP 800-171 Rev 2 3.1.17
AC.2.011 – Authorize wireless access prior to allowing such connections: NIST SP 800-171 Rev 2 3.1.16 AC.3.020- Control connection of mobile devices: NIST SP 800-171 Rev 2 3.1.18
C003 – Control remote system access N/A AC.2.013 – Monitor and control remote access sessions: NIST SP 800-171 Rev 2 3.1.12 AC.3.014 – Employ cryptographic mechanisms to protect the confidentiality of remote access sessions: NIST SP 800-171 Rev 2 3.1.13
AC.2.015 – Route remote access via managed access control points: NIST SP 800-171 Rev 2 3.1.14 AC.3.021 – Authorize remote execution of privileged commands and remote access to security-relevant information: NIST SP 800-171 Rev 2 3.1.15
C004 – Limit data access to authorized users and processes AC.1.003 – Verify and control/limit connections to and use of external information systems: NIST SP 800-171 Rev 2 3.1.20 AC.2.016 – Control the flow of CUI in accordance with approved authorizations: NIST SP 800-171 Rev 2 3.1.3 AC.3.022 – Encrypt CUI on mobile devices and mobile computing platforms: NIST SP 800-171 Rev 2 3.1.19
AC.1.004 – Control information posted or processed on publicly accessible information systems: NIST SP 800-171 Rev 2 3.1.22
2 ASSET MANAGEMENT (AM) C005 – Identify and document assets N/A N/A AM.3.036 – Define procedures for the handling of CUI data.
C006 – Manage asset inventory N/A N/A N/A
3 AUDIT AND ACCOUNTABILITY (AU) C007 – Define audit requirements N/A AU.2.041 – Ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions: NIST SP 800-171 Rev 2 3.3.2 AU.3.045 – Review and update logged events: NIST SP 800-171 Rev 2 3.3.3
AU.3.046 – Alert in the event of an audit logging process failure: NIST SP 800-171 Rev 2 3.3.4
C008 – Perform auditing N/A AU.2.042 – Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity: NIST SP 800-171 Rev 2 3.3.1 AU.3.048 – Collect audit information (e.g., logs) into one or more central repositories.
AU.2.043 – Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records: NIST SP 800-171 Rev 2 3.3.7
C009 – Identify and protect audit information N/A N/A AU.3.049 – Protect audit information and audit logging tools from unauthorized access, modification, and deletion: NIST SP 800-171 Rev 2 3.3.8
AU.3.050 – Limit management of audit logging functionality to a subset of privileged users: NIST SP 800-171 Rev 2 3.3.9
C010 – Review and manage audit logs N/A AU.2.044 – Review audit logs. AU.3.051 – Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity: NIST SP 800-171 Rev 2 3.3.5
AU.3.052 – Provide audit record reduction and report generation to support on-demand analysis and reporting: NIST SP 800-171 Rev 2 3.3.6
4 AWARENESS AND TRAINING (AT) C011 – Conduct security awareness activities N/A AT.2.056 – Ensure that managers, system administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems: NIST SP 800-171 Rev 2 3.2.1 AT.3.058 – Provide security awareness training on recognizing and reporting potential indicators of insider threat: NIST SP 800-171 Rev 2 3.2.3
C012 – Conduct training N/A AT.2.057 – Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities: NIST SP 800-171 Rev 2 3.2.2 N/A
5 CONFIGURATION MANAGEMENT (CM) C013 – Establish configuration baselines N/A CM.2.061 – Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles: NIST SP 800-171 Rev 2 3.4.1 N/A
N/A CM.2.062 – Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities: NIST SP 800-171 Rev 2 3.4.6 N/A
N/A CM.2.063 – Control and monitor user-installed software: NIST SP 800-171 Rev 2 3.4.9 N/A
C014 – Perform configuration and change management N/A CM.2.064 – Establish and enforce security configuration settings for information technology products employed in organizational systems: NIST SP 800-171 Rev 2 3.4.2 CM.3.067 – Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems: NIST SP 800-171 Rev 2 3.4.5
N/A CM.2.065 – Track, review, approve, or disapprove, and log changes to organizational systems: NIST SP 800-171 Rev 2 3.4.3 CM.3.068 -Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services.
NIST SP 800-171 Rev 2 3.4.7
N/A CM.2.066 – Analyze the security impact of changes prior to implementation: NIST SP 800-171 Rev 2 3.4.4 CM.3.069 – Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software: NIST SP 800-171 Rev 2 3.4.8
6 IDENTIFICATION AND AUTHENTICATION (IA) C015 – Grant access to authenticated entities IA.1.076 – Identify information system users, processes acting on behalf of users, or devices: NIST SP 800-171 Rev 2 3.5.1 IA.2.078 – Enforce a minimum password complexity and change of characters when new passwords are created: NIST SP 800-171 Rev 2 3.5.7 IA.3.083 – Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts: NIST SP 800-171 Rev 2 3.5.3
IA.1.077 – Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems.
NIST SP 800-171 Rev 2 3.5.2		 IA.2.079 – Prohibit password reuse for a specified number of generations: NIST SP 800-171 Rev 2 3.5.8 IA.3.084 – Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts: NIST SP 800-171 Rev 2 3.5.4
N/A IA.2.080 – Allow temporary password use for system logons with an immediate change to a permanent password: NIST SP 800-171 Rev 2 3.5.9 IA.3.085 – Prevent the reuse of identifiers for a defined period: NIST SP 800-171 Rev 2 3.5.5
N/A IA.2.081 – Store and transmit only cryptographically-protected passwords: NIST SP 800-171 Rev 2 3.5.10 IA.3.086 – Disable identifiers after a defined period of inactivity: NIST SP 800-171 Rev 2 3.5.6
N/A IA.2.082 – Obscure feedback of authentication information: NIST SP 800-171 Rev 2 3.5.11 N/A
7 INCIDENT RESPONSE (IR) C016 – Plan incident response N/A IR.2.092 – Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities: NIST SP 800-171 Rev 2 3.6.1 N/A
C017 – Detect and report events N/A IR.2.093 – Detect and report events. N/A
IR.2.094 – Analyze and triage events to support event resolution and incident declaration.
C018 – Develop and implement a response to a declared incident N/A IR.2.096 – Develop and implement responses to declared incidents according to pre- defined procedures. IR.3.098 – Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization: NIST SP 800-171 Rev 2 3.6.2
C019 – Perform post incident reviews N/A IR.2.097 – Perform root cause analysis on incidents to determine underlying causes. N/A
C020 – Test incident response N/A N/A IR.3.099 – Test the organizational incident response capability: NIST SP 800-171 Rev 2 3.6.3
8 MAINTENANCE (MA) C021 – Manage maintenance N/A MA.2.111 – Perform maintenance on organizational systems: NIST SP 800-171 Rev 2 3.7.1 MA.3.115 – Ensure equipment removed for off-site maintenance is sanitized of any CUI: NIST SP 800-171 Rev 2 3.7.3
N/A MA.2.112 – Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance: NIST SP 800-171 Rev 2 3.7.2 MA.3.116 – Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems: NIST SP 800-171 Rev 2 3.7.4
N/A MA.2.113 – Require multifactor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete: NIST SP 800-171 Rev 2 3.7.5 N/A
N/A MA.2.114 – Supervise the maintenance activities of personnel without required access authorization: NIST SP 800-171 Rev 2 3.7.6 N/A
9 MEDIA PROTECTION (MP) C022 – Identify and mark media N/A N/A MP.3.122 – Mark media with necessary CUI markings and distribution limitations: NIST SP 800-171 Rev 2 3.8.4
C023 – Protect and control media N/A MP.2.119 – Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital: NIST SP 800-171 Rev 2 3.8.1 MP.3.123 – Prohibit the use of portable storage devices when such devices have no identifiable owner: NIST SP 800-171 Rev 2 3.8.8
N/A MP.2.120 – Limit access to CUI on system media to authorized users: NIST SP 800-171 Rev 2 3.8.2 N/A
N/A MP.2.121 – Control the use of removable media on system components: NIST SP 800-171 Rev 2 3.8.7 N/A
C024 – Sanitize media MP.1.118 – Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse: NIST SP 800-171 Rev 2 3.8.3 N/A N/A
C025 – Protect media during transport N/A N/A MP.3.124 – Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas: NIST SP 800-171 Rev 2 3.8.5
N/A N/A MP.3.125 – Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards: NIST SP 800-171 Rev 2 3.8.6
10 PERSONNEL SECURITY (PS) C026 – Screen personnel N/A PS.2.127 – Screen individuals prior to authorizing access to organizational systems containing CUI: NIST SP 800-171 Rev 2 3.9.1 N/A
C027 – Protect CUI during personnel actions N/A PS.2.128 – Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers: NIST SP 800-171 Rev 2 3.9.2 N/A
11 PHYSICAL PROTECTION (PE) C028 – Limit physical access PE.1.131 – Limit physical access to organizational information systems, equipment, and the respective operating environments to authorized individuals: NIST SP 800-171 Rev 2 3.10.1 PE.2.135 – Protect and monitor the physical facility and support infrastructure for organizational systems: NIST SP 800-171 Rev 2 3.10.2 PE.3.136 – Enforce safeguarding measures for CUI at alternate work sites: NIST SP 800-171 Rev 2 3.10.6
PE.1.132 – Escort visitors and monitor visitor activity: NIST SP 800-171 Rev 2 3.10.3 N/A N/A
PE.1.133 – Maintain audit logs of physical access: NIST SP 800-171 Rev 2 3.10.4 N/A N/A
PE.1.134 – Control and manage physical access devices: NIST SP 800-171 Rev 2 3.10.5 N/A N/A
12 RECOVERY (RE) C029 – Manage backups N/A RE.2.137 – Regularly perform and test data backups. RE.3.139 – Regularly perform complete, comprehensive, and resilient data backups as organizationally defined.
RE.2.138 – Protect the confidentiality of backup CUI at storage locations: NIST SP 800-171 Rev 2 3.8.9
C030 – Manage information security continuity N/A N/A N/A
13 RISK MANAGEMENT (RM) C031 – Identify and evaluate risk N/A RM.2.141 – Periodically assess the risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals, resulting from the operation of organizational systems and the associated processing, storage, or transmission of CUI: NIST SP 800-171 Rev 2 3.11.1 RM.3.144 – Periodically perform risk assessments to identify and prioritize risks according to the defined risk categories, risk sources, and risk measurement criteria.
N/A RM.2.142 – Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified: NIST SP 800-171 Rev 2 3.11.2 N/A
C032 – Manage risk N/A RM.2.143 – Remediate vulnerabilities in accordance with risk assessments: NIST SP 800-171 Rev 2 3.11.3 RM.3.146 – Develop and implement risk mitigation plans.
RM.3.147 – Manage non-vendor- supported products (e.g., end of life) separately and restrict as necessary to reduce risk.
C033 – Manage supply chain risk N/A N/A N/A
14 SECURITY ASSESSMENT (CA) C034 – Develop and manage a system security plan N/A CA.2.157 – Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems: NIST SP 800-171 Rev 2 3.12.4 N/A
C035 – Define and manage controls N/A CA.2.158 – Periodically assess the security controls in organizational systems to determine if the controls are effective in their application: NIST SP 800-171 Rev 2 3.12.1 CA.3.161 – Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls: NIST SP 800-171 Rev 2 3.12.3
N/A CA.2.159 – Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems.
NIST SP 800-171 Rev 2 3.12.2		 N/A
C036 – Perform code reviews N/A N/A CA.3.162 – Employ a security assessment of enterprise software that has been developed internally, for internal use, and that has been organizationally defined as an area of risk.
15 SITUATIONAL AWARENESS (SA) C037 – Implement threat monitoring N/A N/A SA.3.169 – Receive and respond to cyber threat intelligence from information sharing forums and sources and communicate to stakeholders.
16 SYSTEM AND COMMUNICATIONS PROTECTION (SC) C038 – Define security requirements for systems and communications N/A SC.2.178 – Prohibit remote activation of collaborative computing devices and provide indication of devices in use to users present at the device: NIST SP 800-171 Rev 2 3.13.12 SC.3.177 – Employ FIPS-validated cryptography when used to protect the confidentiality of CUI: NIST SP 800-171 Rev 2 3.13.11
N/A SC.2.179 – Use encrypted sessions for the management of network devices. SC.3.180 – Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems: NIST SP 800-171 Rev 2 3.13.2
N/A N/A SC.3.181 – Separate user functionality from system management functionality: NIST SP 800-171 Rev 2 3.13.3
N/A N/A SC.3.182 – Prevent unauthorized and unintended information transfer via shared system resources: NIST SP 800-171 Rev 2 3.13.4
N/A N/A SC.3.183 – Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception): NIST SP 800-171 Rev 2 3.13.6
N/A N/A SC.3.184 – Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks (i.e., split tunneling): NIST SP 800-171 Rev 2 3.13.7
N/A N/A SC.3.185 – Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards: NIST SP 800-171 Rev 2 3.13.8
N/A N/A SC.3.186 – Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity: NIST SP 800-171 Rev 2 3.13.9
N/A N/A SC.3.187 – Establish and manage cryptographic keys for cryptography employed in organizational systems: NIST SP 800-171 Rev 2 3.13.10
N/A N/A SC.3.188 – Control and monitor the use of mobile code: NIST SP 800-171 Rev 2 3.13.13
N/A N/A SC.3.189 – Control and monitor the use of Voice over Internet Protocol (VoIP) technologies: NIST SP 800-171 Rev 2 3.13.14
N/A N/A SC.3.190 – Protect the authenticity of communications sessions: NIST SP 800-171 Rev 2 3.13.15
N/A N/A SC.3.191 – Protect the confidentiality of CUI at rest: NIST SP 800-171 Rev 2 3.13.16
C039 – Control communications at system boundaries SC.1.175 – Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems: NIST SP 800-171 Rev 2 3.13.1 N/A SC.3.192 – Implement Domain Name System (DNS) filtering services.
SC.1.176 – Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.
NIST SP 800-171 Rev 2 3.13.5		 N/A SC.3.193 – Implement a policy restricting the publication of CUI on externally owned, publicly accessible websites (e.g., forums, LinkedIn, Facebook, Twitter).
17 SYSTEM AND INFORMATION INTEGRITY (SI) C040 – Identify and manage information system flaws SI.1.210 – Identify, report, and correct information and information system flaws in a timely manner: NIST SP 800-171 Rev 2 3.14.1 SI.2.214 – Monitor system security alerts and advisories and take action in response: NIST SP 800-171 Rev 2 3.14.3 N/A
C041 – Identify malicious content SI.1.211 – Provide protection from malicious code at appropriate locations within organizational information systems: NIST SP 800-171 Rev 2 3.14.2 N/A N/A
SI.1.212 – Update malicious code protection mechanisms when new releases are available: NIST SP 800-171 Rev 2 3.14.4 N/A N/A
SI.1.213 – Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed.
NIST SP 800-171 Rev 2 3.14.5		 N/A N/A
C042 – Perform network and system monitoring N/A SI.2.216 – Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks: NIST SP 800-171 Rev 2 3.14.6 SI.3.218 – Employ spam protection mechanisms at information system access entry and exit points.
N/A SI.2.217 – Identify unauthorized use of organizational systems: NIST SP 800-171 Rev 2 3.14.7 N/A
C043 – Implement advanced email protections N/A N/A SI.3.219 – Implement email forgery protections
SI.3.220 – Utilize sandboxing to detect or block potentially malicious email.