Appendix: NIST Cybersecurity Framework

This appendix shows each function, category, and subcategory of the National Institute of Standards and Technology’s Cybersecurity Framework (NIST CSF). The functions include

• Identify

• Protect

• Detect

• Respond

• Recover

All functions contain categories, such as Asset Management, and subcategories, such as ID.AM-1, with a description. This appendix is provided as a reference to material referring to the NIST CSF when building an incident response program.

Identify: Asset Management

Table A-1 shows the Asset Management subcategories of the NIST CSF.

Table A-1

Asset Management Subcategories

Subcategory	Description
ID.AM-1	Physical devices and systems within the organization are inventoried.
ID.AM-2	Software platforms and applications within the organization are inventoried.
ID.AM-3	Organizational communication and data flows are mapped.
ID.AM-4	External information systems are cataloged.
ID.AM-5	Resources (e.g., hardware, devices, data, time, personnel, and software) are prioritized, based on their classification, criticality, and business value .
ID.AM-6	Cybersecurity roles and responsibilities for the entire workforce and third-party stakeholders (e.g., suppliers, customers, partners) are established.

Identify: Business Environment

Table A-2 shows the Business Environment subcategories of the NIST CSF.

Table A-2

Business Environment Subcategories Cybersecurity Controls Mapped to the HIPAA Security Rule Safeguards

Subcategory	Description
ID.BE-1	The organization’s role in the supply chain is identified and communicated.
ID.BE-2	The organization’s place in critical infrastructure and its industry sector is identified and communicated.
ID.BE-3	Priorities for organizational mission, objectives, and activities are established and communicated.
ID.BE-4	Dependencies and critical functions for delivery of critical services are established .
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).

Identify: Governance

Table A-3 shows the Governance subcategories of the NIST CSF.

Table A-3

Governance Subcategories

Subcategory	Description
ID.GV-1	Organizational cybersecurity policy is established and communicated.
ID.GV-2	Cybersecurity roles and responsibilities are coordinated and aligned with internal roles and external partners.
ID.GV-3	Legal and regulatory requirements regarding cybersecurity, including privacy and civil liberties obligations, are understood and managed.
ID.GV-4	Governance and risk management processes address cybersecurity risks.

Identify: Risk Assessment

Table A-4 shows the Risk Assessment subcategories of the NIST CSF.

Table A-4

Risk Assessment Subcategories

Subcategory	Description
ID.RA-1	Asset vulnerabilities are identified and documented.
ID.RA-2	Cyber threat intelligence is received from information sharing forums and sources.
ID.RA-3	Threats, both internal and external, are identified and documented.
ID.RA-4	Potential business impacts and likelihoods are identified.
ID.RA-5	Threats, vulnerabilities, likelihoods, and impacts are used to determine risk.
ID.RA-6	Risk responses are identified and prioritized.

Identify: Risk Management

Table A-5 shows the Risk Management subcategories of the NIST CSF.

Table A-5

Risk Management Subcategories

Subcategory	Description
ID.RM-1	Risk management processes are established, managed, and agreed to by organizational stakeholders.
ID.RM-2	Organizational risk tolerance is determined and clearly expressed.
ID.RM-3	The organization’s determination of risk tolerance is informed by its role in critical infrastructure and sector-specific risk analysis.

Identify: Supply Chain Risk Management

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. Table A-6 shows the Supply Chain Risk Management subcategories of the NIST CSF.

Table A-6

Supply Chain Risk Management Subcategories

Subcategory	Description
ID.SC-1	Cyber supply chain risk management processes are identified, established, assessed, managed, and agreed to by organizational stakeholders.
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.
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.
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.
ID.SC-5	Response and recovery planning and testing are conducted with suppliers and third-party providers .

Protect: Access Control

Table A-7 shows the Access Control subcategories of the NIST CSF.

Table A-7

Access Control Subcategories

Subcategory	Description
PR.AC-1	Identities and credentials are issued, managed, verified, revoked, and audited for authorized devices, users, and processes.
PR.AC-2	Physical access to assets is managed and protected.
PR.AC-3	Remote access is managed.
PR.AC-4	Access permissions are managed, incorporating the principles of least privilege and separation of duties.
PR.AC-5	Network integrity is protected, incorporating network segregation, where appropriate.

Protect: Awareness and Training

Table A-8 shows the Awareness and Training subcategories of the NIST CSF.

Table A-8

Awareness and Training Subcategories

Subcategory	Description
PR.AT-1	All users are informed and trained.
PR.AT-2	Privileged users understand roles and responsibilities.
PR.AT-3	Third-party stakeholders (e.g., supplier's customers, partners) understand roles and responsibilities.
PR.AT-4	Senior executives understand roles and responsibilities.
PR.AT-5	Physical and information security personnel understand roles and responsibilities.

Protect: Data Security

Table A-9 shows the Data Security subcategories of the NIST CSF.

Table A-9

Data Security Subcategories

Subcategory	Description
PR.DS-1	Data-at-rest is protected.
PR.DS-2	Data-in-transit is protected.
PR.DS-3	Assets are formally managed throughout removal, transfers, and disposition.
PR.DS-4	Adequate capacity to ensure availability is maintained.
PR.DS-5	Protections against data leaks are implemented.
PR.DS-6	Integrity checking mechanisms are used to verify software, firmware, and information integrity.

Protect: Information Protection

Table A-10 shows the Information Protection subcategories of the NIST CSF.

Table A-10

Information Protection Subcategories

Subcategory	Description
PR.IP-1	A baseline configuration of information technology/industrial control systems is created and maintained.
PR.IP-2	A System Development Life Cycle to manage systems is implemented.
PR.IP-3	Configuration change control processes are in place.
PR.IP-4	Backups of information are conducted, maintained, and tested periodically.
PR.IP-5	Policy and regulations regarding the physical operating environment for organizational assets are met.
PR.IP-6	Data is destroyed according to policy.
PR.IP-7	Protection processes are continuously improved.
PR.IP-8	Effectiveness of protection technologies is shared with appropriate parties.
PR.IP-9	Response plans (Incident Response and Business Continuity) and recovery plans (Incident Recovery and Disaster Recovery) are in place and managed.
PR.IP-10	Response and recovery plans are tested.
PR.IP-11	Cybersecurity is included in human resources practices (e.g., deprovisioning, personnel screening).
PR.IP-12	A vulnerability management plan is developed and implemented.

Protect: Maintenance

Table A-11 shows the Maintenance subcategories of the NIST CSF.

Table A-11

Maintenance Subcategories

Subcategory	Description
PR.MA-1	Maintenance and repair of organizational assets is performed and logged in a timely manner, with approved and controlled tools.
PR.MA-2	Remote maintenance of organizational assets is approved, logged, and performed in a manner that prevents unauthorized access.

Protect: Protective Technology

Table A-12 shows the Protective Technology subcategories of the NIST CSF.

Table A-12

Protective Technology Subcategories

Subcategory	Description
PR.PT-1	Audit/log records are determined, documented, implemented, and reviewed, in accordance with policy.
PR.PT-2	Removable media is protected, and its use restricted, according to policy.
PR.PT-3	Access to systems and assets is controlled, incorporating the principle of least functionality.
PR.PT-4	Communications and control networks are protected.

Detect: Anomalies and Events

Table A-13 shows the Anomalies and Events subcategories of the NIST CSF.

Table A-13

Anomalies and Events Subcategories

Subcategory	Description
DE.AE-1	A baseline of network operations and expected data flows for users and systems is established and managed.
DE.AE-2	Detected events are analyzed to understand attack targets and methods.
DE.AE-3	Event data are aggregated and correlated from multiple sources and sensors.
DE.AE-4	Impact of events is determined .
DE.AE-5	Incident alert thresholds are established.

Detect: Continuous Monitoring

Table A-14 shows the Continuous Monitoring subcategories of the NIST CSF.

Table A-14

Continous Monitoring Subcategories

Subcategory	Description
DE.CM-1	The network is monitored to detect potential cybersecurity events.
DE.CM-2	The physical environment is monitored to detect potential cybersecurity events.
DE.CM-3	Personnel activity is monitored to detect potential cybersecurity events.
DE.CM-4	Malicious code is detected.
DE.CM-5	Unauthorized mobile code is detected.
DE.CM-6	External service provider activity is monitored to detect potential cybersecurity events.
DE.CM-7	Monitoring for unauthorized personnel, connections, devices, and software is performed .
DE.CM-8	Vulnerability scans are performed.

Detect: Detection Processes

Table A-15 shows the Detection Processes subcategories of the NIST CSF.

Table A-15

Detection Processes Subcategories

Subcategory	Description
DE.DP-1	Roles and responsibilities for detection are well defined to ensure accountability.
DE.DP-2	Detection activities comply with all applicable requirements.
DE.DP-3	Detection processes are tested.
DE.DP-4	Event detection information is communicated to appropriate parties.
DE.DP-5	Detection processes are continuously improved.

Respond: Response Planning

Table A-16 shows the Response Planning subcategories of the NIST CSF.

Table A-16

Response Planning Subcategories

Subcategory	Description
RS.RP-1	Response plan is executed during or after an incident.

Respond: Communications

Table A-17 shows the Communications subcategories of the NIST CSF.

Table A-17

Communications Subcategories.

Subcategory	Description
RS.CO-1	Personnel know their roles and order of operations when a response is needed.
RS.CO-2	Events are reported consistent with established criteria.
RS.CO-3	Information is shared consistent with response plans.
RS.CO-4	Coordination with stakeholders occurs consistent with response plans.
RS.CO-5	Voluntary information sharing occurs with external stakeholders to achieve broader cybersecurity situational awareness.

Respond: Analysis

Table A-18 shows the Analysis subcategories of the NIST CSF.

Table A-18

Analysis Subcategories

Subcategory	Description
RS.AN-1	Notifications from detection systems are investigated.
RS.AN-2	The impact of the incident is understood.
RS.AN-3	Forensics are performed.
RS.AN-4	Incidents are categorized consistent with response plans.

Respond: Mitigation

Table A-19 shows the Mitigation subcategories of the NIST CSF.

Table A-19

Mitigation Subcategories

Subcategory	Description
RS.MI-1	Incidents are contained.
RS.MI-2	Incidents are mitigated.
RS.MI-3	Newly identified vulnerabilities are mitigated or documented as accepted risks.

Respond: Improvement

Table A-20 shows the Improvement subcategories of the NIST CSF.

Table A-20

Improvement Subcategories

Subcategory	Description
RS.IM-1	Response plans incorporate lessons learned.
RS.IM-2	Response strategies are updated.

Recover: Recovery Planning

Table A-21 shows the Recovery Planning subcategories of the NIST CSF.

Table A-21

Recovery Planning Subcategories

Subcategory	Description
RC.RP-1	Recovery plan is executed during or after an event.

Recover: Improvements

Table A-22 shows the Improvements subcategories of the NIST CSF.

Table A-22

Improvements Subcategories

Subcategory	Description
RC.IM-1	Recovery plans incorporate lessons learned.
RC.IM-2	Recovery strategies are updated

Recover: Communications

Table A-23 shows the Communications subcategories of the NIST CSF.

Table A-23

Communications Subcategories

Subcategory	Description
RC.CO-1	Public relations are managed.
RC.CO-2	Reputation after an event is repaired.
RC.CO-3	Recovery activities are communicated to internal stakeholders and executive and management teams.

Index

A, B

Breach

C

Command and control (C2)

Continuous monitoring

analyzing data

reporting

security controls

strategy

Culture

cybersecurity and incident response

leadership skills

team skills

technical skills

Cyber risks

activities

analysis

measurement

impact

likelihood

review

risk register

threat analysis

vulnerabilities

Cybersecurity functions

incident response support

Cybrary

D

Data loss prevention (DLP)

Data theft

Decisiveness

Denial of service (DoS)

E, F, G

Emotional intelligence

End point detection and response (EDR)

End users

Equifax

Event

Event and response phases

H

Humility

I, J

Incident

Incident handling

Incident response

containment

eradication and recovery

goals

identification

leadership

network segmentation

complexity, workload, and maintenance

corporate groups

infrastructure, New Product Development

vLANs

preplanning and strategy development

purpose

response

roles and responsibilities

triage

Indicators of compromise (IOCs)

Initial response team (IRT)

K

Kotter’s eight-step change model

communication

cybersecurity, information technology, and business teams

implementing change

incident response

investments

objectives

PowerShell script

short-term wins

strategic objectives

L

Leadership

continued learning and growth

decisiveness

emotional intelligence

hiring

humility

incident response teams

listening

Meyer’s formula

passion

skills

Lewin’s Change Management Model

change

phases

refreeze

unfreeze

Linux Event Logs

Listening

Log files

Lost assets

M

Malware

Mandiant’s Cyber Attack Life Cycle

phase one

establishing foothold

initial compromise

reconnaissance

phase three

phase two

internal recon

lateral moves

maintain presence

privilege escalation

purpose

Massachusetts Institute of Technology (MIT)

N

NetFlow

NIST 800-

adverse event

event

incident

NIST 800-137

NIST Cybersecurity Framework (CSF)

detect

anomalies and events

continuous monitoring

detection processes

identify

asset management

business environment

governance

risk assessment

risk management

supply chain risk management

protect

access control

awareness and training

data security

information protection

maintenance

Protective Technology

recover

communications

improvements

recovery planning

respond

analysis

communications

improvement

mitigation

response planning

O

Open Web Application Security Project (OWASP)

top-ten security risks

Organizational tiers

P, Q

Passion

Personally identifiable information (PII)

Phishing

Plan elements

Policy elements

Procedure elements

R

Ransomware

Locky Ransomware

Reconnaissance

Relationship management

Rootkit

S

Security incident and event management (SIEM)

Self-awareness

Self-management

Social awareness

Strategy

T

Tactics

TalentSmart

Team alignment

Team skills

Technical skills

U

Unauthorized access

V

Vulnerability scanning

W, X, Y, Z

Windows Event Logs