NIST CSF

The National Institute of Standards and Technology (NIST) is a federal agency within the United States Department of Commerce. NIST's primary mission is to promote innovation and industrial competitiveness by advancing measurement science, standards, and technology.

Implementing the NIST SCF enables us to identify, protect, detect, respond, and recover from cyber threats effectively, providing our clients with the highest level of security and peace of mind. Below layouts out the safeguards we follow to protect ourselves and our clients.

ISMS Control 1

Actively manage (inventory, track, and correct) all enterprise assets (end-user devices, including portable and mobile; network devices; non-computing/Internet of Things (IoT) devices; and servers) connected to the infrastructure physically, virtually, remotely, and those within cloud environments, to accurately know the totality of assets that need to be monitored and protected within the enterprise. This will also support identifying unauthorized and unmanaged assets to remove or remediate.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Definition: Establish and maintain an accurate, detailed, and up-to-date inventory of all enterprise assets with the potential to store or process data, to include: end-user devices (including portable and mobile), network devices, non-computing/IoT devices, and servers. Ensure the inventory records the network address (if static), hardware address, machine name, enterprise asset owner, department for each asset, and whether the asset has been approved to connect to the network. For mobile end-user devices,MDM type tools can support this process, where appropriate. This inventory includes assetsconnected to the infrastructure physically, virtually, remotely, and those within cloud environments. Additionally, it includes assets that are regularly connected to the enterprise's network infrastructure, even if they are not under control of the enterprise. Review and update the inventory of all enterprise assets bi-annually, or more frequently.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Definition: Utilize an active discovery tool to identify assets connected to the enterprise's network. Configure the active discovery tool to execute daily, or more frequently.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Definition: Use DHCP logging on all DHCP servers or Internet Protocol (IP) address management tools to update the enterprise's asset inventory. Review and use logs to update the enterprise's asset inventory weekly, or more frequently.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Definition: Use DHCP logging on all DHCP servers or Internet Protocol (IP) address management tools to update the enterprise's asset inventory. Review and use logs to update the enterprise's asset inventory weekly, or more frequently.

ISMS Control 2

Actively manage (inventory, track, and correct) all enterprise assets (end-user devices, including portable and mobile; network devices; non-computing/Internet of Things (IoT) devices; and servers) connected to the infrastructure physically, virtually, remotely, and those within cloud environments, to accurately know the totality of assets that need to be monitored and protected within the enterprise. This will also support identifying unauthorized and unmanaged assets to remove or remediate.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an accurate, detailed, and up-to-date inventory of all enterprise assets with the potential to store or process data, to include: end-user devices (including portable and mobile), network devices, non-computing/IoT devices, and servers. Ensure the inventory records the network address (if static), hardware address, machine name, enterprise asset owner, department for each asset, and whether the asset has been approved to connect to the network. For mobile end-user devices,MDM type tools can support this process, where appropriate. This inventory includes assetsconnected to the infrastructure physically, virtually, remotely, and those within cloud environments. Additionally, it includes assets that are regularly connected to the enterprise's network infrastructure, even if they are not under control of the enterprise. Review and update the inventory of all enterprise assets bi-annually, or more frequently.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Ensure that only currently supported software is designated as authorized in the software inventory for enterprise assets. If software is unsupported, yet necessary for the fulfillment of the enterprise's mission, document an exception detailing mitigating controls and residual risk acceptance. For any unsupported software without an exception documentation, designate as unauthorized. Review the software list to verify software support at least monthly, or more frequently.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Ensure that unauthorized software is either removed from use on enterprise assets or receives a documented exception. Review monthly, or more frequently.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Utilize software inventory tools, when possible, throughout the enterprise to automate the discovery and documentation of installed software.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Use technical controls, such as application allowlisting, to ensure that only authorized software can execute or be accessed. Reassess bi-annually, or more frequently.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Use technical controls to ensure that only authorized software libraries, such as specific .dll, .ocx, .so, etc., files, are allowed to load into a system process. Block unauthorized libraries from loading into a system process. Reassess bi-annually, or more frequently.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Use technical controls, such as digital signatures and version control, to ensure that only authorized scripts, such as specific .ps1, .py, etc., files, are allowed to execute. Block unauthorized scripts from executing. Reassess bi-annually, or more frequently.

ISMS Control 3

Develop processes and technical controls to identify, classify, securely handle, retain, and dispose of data.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a data management process. In the process, address data sensitivity, data owner, handling of data, data retention limits, and disposal requirements, based on sensitivity and retention standards for the enterprise. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a data inventory, based on the enterprise's data management process. Inventory sensitive data, at a minimum. Review and update inventory annually, at a minimum, with a priority on sensitive data.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Configure data access control lists based on a user's need to know. Apply data access control lists, also known as access permissions, to local and remote file systems, databases, and applications.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Securely dispose of data as outlined in the enterprise's data management process. Ensure the disposal process and method are commensurate with the data sensitivity.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an overall data classification scheme for the enterprise. Enterprises may use labels, such as 'Sensitive,' 'Confidential,' and 'Public,' and classify their data according to those labels. Review and update the classification scheme annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Document data flows. Data flow documentation includes service provider data flows and should be based on the enterprise's data management process. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Encrypt data on removable media.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Encrypt sensitive data in transit. Example implementations can include: Transport Layer Security (TLS) and Open Secure Shell (OpenSSH).

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Encrypt sensitive data at rest on servers, applications, and databases containing sensitive data. Storage-layer encryption, also known as server-side encryption, meets the minimum requirement of this Safeguard. Additional encryption methods may include application-layer encryption, also known as client-side encryption, where access to the data storage device(s) does not permit access to the plain-text data.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Segment data processing and storage based on the sensitivity of the data. Do not process sensitive data on enterprise assets intended for lower sensitivity data.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Implement an automated tool, such as a host-based Data Loss Prevention (DLP) tool to identify all sensitive data stored, processed, or transmitted through enterprise assets, including those located onsite or at a remote service provider, and update the enterprise's sensitive data inventory.

ISMS Control 4

Develop processes and technical controls to identify, classify, securely handle, retain, and dispose of data.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a secure configuration process for enterprise assets (end-user devices, including portable and mobile; non-computing/IoT devices; and servers) and software (operating systems and applications). Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a secure configuration process for network devices. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Configure automatic session locking on enterprise assets after a defined period of inactivity. For general purpose operating systems, the period must not exceed 15 minutes. For mobile end-user devices, the period must not exceed 2 minutes.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Manage default accounts on enterprise assets and software, such as root, administrator, and other pre-configured vendor accounts. Example implementations can include: disabling default accounts or making them unusable.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Remotely wipe enterprise data from enterprise-owned portable end-user devices when deemed appropriate such as lost or stolen devices, or when an individual no longer supports the enterprise.

ISMS Control 5

Use processes and tools to assign and manage authorization to credentials for user accounts, including administrator accounts, as well as service accounts, to enterprise assets and software.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an inventory of all accounts managed in the enterprise. The inventory must include both user and administrator accounts. The inventory, at a minimum, should contain the person's name, username, start/stop dates, and department. Validate that all active accounts are authorized, on a recurring schedule at a minimum quarterly, or more frequently.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Delete or disable any dormant accounts after a period of 45 days of inactivity, where supported.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Restrict administrator privileges to dedicated administrator accounts on enterprise assets. Conduct general computing activities, such as internet browsing, email, and productivity suite use, from the user's primary, non-privileged account.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an inventory of service accounts. The inventory, at a minimum, must contain department owner, review date, and purpose. Perform service account reviews to validate that all active accounts are authorized, on a recurring schedule at a minimum quarterly, or more frequently.

ISMS Control 6

Use processes and tools to create, assign, manage, and revoke access credentials and privileges for user, administrator, and service accounts for enterprise assets and software.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and follow a process, preferably automated, for granting access to enterprise assets upon new hire, rights grant, or role change of a user.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and follow a process, preferably automated, for revoking access to enterprise assets, through disabling accounts immediately upon termination, rights revocation, or role change of a user. Disabling accounts, instead of deleting accounts, may be necessary to preserve audit trails.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Require all externally-exposed enterprise or third-party applications to enforce MFA, where supported. Enforcing MFA through a directory service or SSO provider is a satisfactory implementation of this Safeguard.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Require MFA for remote network access.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Require MFA for all administrative access accounts, where supported, on all enterprise assets, whether managed on-site or through a third-party provider.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an inventory of the enterprise's authentication and authorization systems, including those hosted on-site or at a remote service provider. Review and update the inventory, at a minimum, annually, or more frequently.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Centralize access control for all enterprise assets through a directory service or SSO provider, where supported.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Define and maintain role-based access control, through determining and documenting the access rights necessary for each role within the enterprise to successfully carry out its assigned duties. Perform access control reviews of enterprise assets to validate that all privileges are authorized, on a recurring schedule at a minimum annually, or more frequently.

ISMS Control 7

Develop a plan to continuously assess and track vulnerabilities on all enterprise assets within the enterprise's infrastructure, in order to remediate, and minimize, the window of opportunity for attackers. Monitor public and private industry sources for new threat and vulnerability information.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a documented vulnerability management process for enterprise assets. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a risk-based remediation strategy documented in a remediation process, with monthly, or more frequent, reviews.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Perform application updates on enterprise assets through automated patch management on a monthly, or more frequent, basis.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Perform automated vulnerability scans of internal enterprise assets on a quarterly, or more frequent, basis. Conduct both authenticated and unauthenticated scans, using a SCAP-compliant vulnerability scanning tool.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Perform automated vulnerability scans of externally-exposed enterprise assets using a SCAP-compliant vulnerability scanning tool. Perform scans on a monthly, or more frequent, basis.

ISMS Control 8

Collect, alert, review, and retain audit logs of events that could help detect, understand, or recover from an attack.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Collect audit logs. Ensure that logging, per the enterprise's audit log management process, has been enabled across enterprise assets.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Standardize time synchronization. Configure at least two synchronized time sources across enterprise assets, where supported.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Configure detailed audit logging for enterprise assets containing sensitive data. Include event source, date, username, timestamp, source addresses, destination addresses, and other useful elements that could assist in a forensic investigation.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Collect DNS query audit logs on enterprise assets, where appropriate and supported.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Collect URL request audit logs on enterprise assets, where appropriate and supported.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Collect command-line audit logs. Example implementations include collecting audit logs from PowerShell, BASH, and remote administrative terminals.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Conduct reviews of audit logs to detect anomalies or abnormal events that could indicate a potential threat. Conduct reviews on a weekly, or more frequent, basis.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Collect service provider logs, where supported. Example implementations include collecting authentication and authorization events, data creation and disposal events, and user management events.

ISMS Control 9

Improve protections and detections of threats from email and web vectors, as these are opportunities for attackers to manipulate human behavior through direct engagement.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Ensure only fully supported browsers and email clients are allowed to execute in the enterprise, only using the latest version of browsers and email clients provided through the vendor.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Use DNS filtering services on all enterprise assets to block access to known malicious domains.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Enforce and update network-based URL filters to limit an enterprise asset from connecting to potentially malicious or unapproved websites. Example implementations include category-based filtering, reputation-based filtering, or through the use of block lists. Enforce filters for all enterprise assets.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Restrict, either through uninstalling or disabling, any unauthorized or unnecessary browser or email client plugins, extensions, and add-on applications.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Block unnecessary file types attempting to enter the enterprise's email gateway.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Deploy and maintain email server anti-malware protections, such as attachment scanning and/or sandboxing.

ISMS Control 10

Prevent or control the installation, spread, and execution of malicious applications, code, or scripts on enterprise assets.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Deploy and maintain anti-malware software on all enterprise assets.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Configure automatic updates for anti-malware signature files on all enterprise assets.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Disable autorun and autoplay auto-execute functionality for removable media.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Configure anti-malware software to automatically scan removable media.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Enable anti-exploitation features on enterprise assets and software, where possible, such as Microsoft Data Execution Prevention (DEP), Windows Defender Exploit Guard (WDEG), or Apple System Integrity Protection (SIP) and Gatekeeper.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Centrally manage anti-malware software.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Use behavior-based anti-malware software.

ISMS Control 11

Establish and maintain data recovery practices sufficient to restore in-scope enterprise assets to a pre-incident and trusted state.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a data recovery process. In the process, address the scope of data recovery activities, recovery prioritization, and the security of backup data. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Perform automated backups of in-scope enterprise assets. Run backups weekly, or more frequently, based on the sensitivity of the data.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Protect recovery data with equivalent controls to the original data. Reference encryption or data separation, based on requirements.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an isolated instance of recovery data. Example implementations include version controlling backup destinations through offline, cloud, or off-site systems or services.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Test backup recovery quarterly, or more frequently, for a sampling of in-scope enterprise assets.

ISMS Control 12

Establish, implement, and actively manage (track, report, correct) network devices, in order to prevent attackers from exploiting vulnerable network services and access points.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a secure network architecture. A secure network architecture must address segmentation, least privilege, and availability, at a minimum.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Securely manage network infrastructure. Example implementations include version-controlled-infrastructure-as-code, and the use of secure network protocols, such as SSH and HTTPS.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain architecture diagram(s) and/or other network system documentation. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Use secure network management and communication protocols (e.g., 802.1X, Wi-Fi Protected Access 2 (WPA2) Enterprise or greater).

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Require users to authenticate to enterprise-managed VPN and authentication services prior to accessing enterprise resources on end-user devices.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain dedicated computing resources, either physically or logically separated, for all administrative tasks or tasks requiring administrative access. The computing resources should be segmented from the enterprise's primary network and not be allowed internet access.

ISMS Control 13

Operate processes and tooling to establish and maintain comprehensive network monitoring and defense against security threats across the enterprise's network infrastructure and user base.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Deploy a host-based intrusion detection solution on enterprise assets, where appropriate and/or supported.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Deploy a network intrusion detection solution on enterprise assets, where appropriate. Example implementations include the use of a Network Intrusion Detection System (NIDS) or equivalent cloud service provider (CSP) service.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Perform traffic filtering between network segments, where appropriate.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Manage access control for assets remotely connecting to enterprise resources. Determine amount of access to enterprise resources based on: up-to-date anti-malware software installed; configuration compliance with the enterprise's secure configuration process; and ensuring the operating system and applications are up-to-date.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Collect network traffic flow logs and/or network traffic to review and alert upon from network devices.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Deploy a host-based intrusion prevention solution on enterprise assets, where appropriate and/or supported. Example implementations include use of an Endpoint Detection and Response (EDR) client or host-based IPS agent.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Deploy a network intrusion prevention solution, where appropriate. Example implementations include the use of a Network Intrusion Prevention System (NIPS) or equivalent CSP service.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Deploy port-level access control. Port-level access control utilizes 802.1x, or similar network access control protocols, such as certificates, and may incorporate user and/or device authentication.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Perform application layer filtering. Example implementations include a filtering proxy, application layer firewall, or gateway.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Tune security event alerting thresholds monthly, or more frequently.

ISMS Control 14

Establish and maintain a security awareness program to influence behavior among the workforce to be security conscious and properly skilled to reduce cybersecurity risks to the enterprise.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a security awareness program. The purpose of a security awareness program is to educate the enterprise's workforce on how to interact with enterprise assets and data in a secure manner. Conduct training at hire and, at a minimum, annually. Review and update content annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Train workforce members to recognize social engineering attacks, such as phishing, pre-texting, and tailgating.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Train workforce members on authentication best practices. Example topics include MFA, password composition, and credential management.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Train workforce members on how to identify and properly store, transfer, archive, and destroy sensitive data. This also includes training workforce members on clear screen and desk best practices, such as locking their screen when they step away from their enterprise asset, erasing physical and virtual whiteboards at the end of meetings, and storing data and assets securely.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Train workforce members to be aware of causes for unintentional data exposure. Example topics include mis-delivery of sensitive data, losing a portable end-user device, or publishing data to unintended audiences.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Train workforce members to be able to recognize a potential incident and be able to report such an incident.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Train workforce to understand how to verify and report out-of-date software patches or any failures in automated processes and tools. Part of this training should include notifying IT personnel of any failures in automated processes and tools.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Train workforce members on the dangers of connecting to, and transmitting data over, insecure networks for enterprise activities. If the enterprise has remote workers, training must include guidance to ensure that all users securely configure their home network infrastructure.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Conduct role-specific security awareness and skills training. Example implementations include secure system administration courses for IT professionals, (OWASP's Top 10 vulnerability awareness and prevention training for web application developers, and advanced social engineering awareness training for high-profile roles.

ISMS Control 15

Develop a process to evaluate service providers who hold sensitive data, or are responsible for an enterprise's critical IT platforms or processes, to ensure these providers are protecting those platforms and data appropriately.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an inventory of service providers. The inventory is to list all known service providers, include classification(s), and designate an enterprise contact for each service provider. Review and update the inventory annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a service provider management policy. Ensure the policy addresses the classification, inventory, assessment, monitoring, and decommissioning of service providers. Review and update the policy annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Classify service providers. Classification consideration may include one or more characteristics, such as data sensitivity, data volume, availability requirements, applicable regulations, inherent risk, and mitigated risk. Update and review classifications annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Ensure service provider contracts include security requirements. Example requirements may include minimum security program requirements, security incident and/or data breach notification and response, data encryption requirements, and data disposal commitments. These security requirements must be consistent with the enterprise's service provider management policy. Review service provider contracts annually to ensure contracts are not missing security requirements.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Assess service providers consistent with the enterprise's service provider management policy. Assessment scope may vary based on classification(s), and may include review of standardized assessment reports, such as Service Organization Control 2 (SOC 2) and Payment Card Industry (PCI) Attestation of Compliance (AoC), customized questionnaires, or other appropriately rigorous processes. Reassess service providers annually, at a minimum, or with new and renewed contracts.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Monitor service providers consistent with the enterprise's service provider management policy. Monitoring may include periodic reassessment of service provider compliance, monitoring service provider release notes, and dark web monitoring.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Securely decommission service providers. Example considerations include user and service account deactivation, termination of data flows, and secure disposal of enterprise data within service provider systems.

ISMS Control 16

Manage the security life cycle of in-house developed, hosted, or acquired software to prevent, detect, and remediate security weaknesses before they can impact the enterprise.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a process to accept and address reports of software vulnerabilities, including providing a means for external entities to report. The process is to include such items as: a vulnerability handling policy that identifies reporting process, responsible party for handling vulnerability reports, and a process for intake, assignment, remediation, and remediation testing. As part of the process, use a vulnerability tracking system that includes severity ratings, and metrics for measuring timing for identification, analysis, and remediation of vulnerabilities. Review and update documentation annually, or when significant enterprise changes occur that could impact this Safeguard. Third-party application developers need to consider this an externally-facing policy that helps to set expectations for outside stakeholders.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Perform root cause analysis on security vulnerabilities. When reviewing vulnerabilities, root cause analysis is the task of evaluating underlying issues that create vulnerabilities in code, and allows development teams to move beyond just fixing individual vulnerabilities as they arise.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and manage an updated inventory of third-party components used in development, often referred to as a bill of materials, as well as components slated for future use.This inventory is to include any risks that each third-party component could pose.Evaluate the list at least monthly to identify any changes or updates to these components, and validate that the component is still supported.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Use up-to-date and trusted third-party software components. When possible, choose established and proven frameworks and libraries that provide adequate security.Acquire these components from trusted sources or evaluate the software for vulnerabilities before use.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a severity rating system and process for application vulnerabilities that facilitates prioritizing the order in which discovered vulnerabilities are fixed. This process includes setting a minimum level of security acceptability for releasing code or applications. Severity ratings bring a systematic way of triaging vulnerabilities that improves risk management and helps ensure the most severe bugs are fixed first. Review and update the system and process annually.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Use standard, industry-recommended hardening configuration templates for application infrastructure components. This includes underlying servers, databases, and web servers, and applies to cloud containers, Platform as a Service (PaaS) components, and SaaS components. Do not allow in-house developed software to weaken configuration hardening.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Maintain separate environments for production and non-production systems.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Ensure that all software development personnel receive training in writing secure code for their specific development environment and responsibilities. Training can include general security principles and application security standard practices. Conduct training at least annually and design in a way to promote security within the development team, and build a culture of security among the developers.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Apply secure design principles in application architectures. Secure design principles include the concept of least privilege and enforcing mediation to validate every operation that the user makes, promoting the concept of "never trust user input." Examples include ensuring that explicit error checking is performed and documented for all input, including for size, data type, and acceptable ranges or formats. Secure design also means minimizing the application infrastructure attack surface, such as turning off unprotected ports and services, removing unnecessary programs and files, and renaming or removing default accounts.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Leverage vetted modules or services for application security components, such as identity management, encryption, and auditing and logging. Using platform features in critical security functions will reduce developers workload and minimize the likelihood of design or implementation errors. Modern operating systems provide effective mechanisms for identification, authentication, and authorization and make those mechanisms available to applications. Use only standardized, currently accepted, and extensively reviewed encryption algorithms. Operating systems also provide mechanisms to create and maintain secure audit logs.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Apply static and dynamic analysis tools within the application life cycle to verify that secure coding practices are being followed.

  • Implementation Group(s): IG3 - Incomplete

    Supporting Materials: ATERA

    Conduct threat modeling. Threat modeling is the process of identifying and addressing application security design flaws within a design, before code is created. It is conducted through specially trained individuals who evaluate the application design and gauge security risks for each entry point and access level. The goal is to map out the application, architecture, and infrastructure in a structured way to understand its weaknesses.

ISMS Control 17

Establish a program to develop and maintain an incident response capability (e.g., policies, plans, procedures, defined roles, training, and communications) to prepare, detect, and quickly respond to an attack.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Designate one key person, and at least one backup, who will manage the enterprise's incident handling process. Management personnel are responsible for the coordination and documentation of incident response and recovery efforts and can consist of employees internal to the enterprise, third-party vendors, or a hybrid approach. If using a third-party vendor, designate at least one person internal to the enterprise to oversee any third-party work. Review annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain contact information for parties that need to be informed of security incidents. Contacts may include internal staff, third-party vendors, law enforcement, cyber insurance providers, relevant government agencies, Information Sharing and Analysis Center (ISAC) partners, or other stakeholders. Verify contacts annually to ensure that information is up-to-date.

  • Implementation Group(s): IG1 - Incomplete, IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an enterprise process for the workforce to report security incidents. The process includes reporting timeframe, personnel to report to, mechanism for reporting, and the minimum information to be reported. Ensure the process is publicly available to all of the workforce. Review annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain an incident response process that addresses roles and responsibilities, compliance requirements, and a communication plan. Review annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Assign key roles and responsibilities for incident response, including staff from legal, IT, information security, facilities, public relations, human resources, incident responders, and analysts, as applicable. Review annually, or when significant enterprise changes occur that could impact this Safeguard.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Plan and conduct routine incident response exercises and scenarios for key personnel involved in the incident response process to prepare for responding to real-world incidents. Exercises need to test communication channels, decision making, and workflows. Conduct testing on an annual basis, at a minimum.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Conduct post-incident reviews. Post-incident reviews help prevent incident recurrence through identifying lessons learned and follow-up action.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain security incident thresholds, including, at a minimum, differentiating between an incident and an event. Examples can include: abnormal activity, security vulnerability, security weakness, data breach, privacy incident, etc. Review annually, or when significant enterprise changes occur that could impact this Safeguard.

ISMS Control 18

Test the effectiveness and resiliency of enterprise assets through identifying and exploiting weaknesses in controls (people, processes, and technology), and simulating the objectives and actions of an attacker.

  • Implementation Group(s): IG2 - Incomplete, IG3 - Incomplete

    Supporting Materials: ATERA

    Establish and maintain a penetration testing program appropriate to the size, complexity, and maturity of the enterprise. Penetration testing program characteristics include scope, such as network, web application, Application Programming Interface (API), hosted services, and physical premise controls; frequency; limitations, such as acceptable hours, and excluded attack types; point of contact information; remediation, such as how findings will be routed internally; and retrospective requirements.

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