HIPAA Security Rule Crosswalk to NIST Cybersecurity Framework

February 25, 2016

General

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HHS.gov released HIPAA security rule crosswalk to NIST cybersecurity framework which maps each administrative, physical and technical safeguard standard and implementation specification in the HIPAA Security Rule to a relevant NIST Cybersecurity Framework Subcategory.

Due to the granularity of the NIST Cybersecurity Framework’s Subcategories, some HIPAA Security Rule requirements may map to more than one Subcategory.

Activities to be performed for a particular Subcategory of the NIST Cybersecurity Framework may be more specific and detailed than those performed for the mapped HIPAA Security Rule requirement. However, the HIPAA Security Rule is designed to be flexible, scalable and technology-neutral, which enables it to accommodate integration with frameworks such as the NIST Cybersecurity Framework. A HIPAA covered entity or business associate should be able to assess and implement new and evolving technologies and best practices that it determines would be reasonable and appropriate to ensure the confidentiality, integrity and availability of the ePHI it creates, receives, maintains, or transmits.

PDF for HIPAA security rule crosswalk to NIST cybersecurity framework

If you want MS Word file for the Crosswalk then contact Bob@hipaatraining.net. Please send email only from your office email. Any request not coming from office email will not be replied with the file.

Function
Category
Subcategory
Relevant Control Mappings
ID.AM-1: Physical devices and systems within the organization are inventoried • CCS 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
• HIPAA Security Rule 45 C.F.R. §§164.308(a)(1)(ii)(A), 164.310(a)(2)(ii), 164.310(d)
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 business objectives and the organization’s risk strategy. ID.AM-2: Software platforms and applications within the organization are inventoried • CCS 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
• NIST SP 800-53 Rev. 4 CM-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.308(a)(7)(ii)(E )
ID.AM-3: Organizational communication and data flows are mapped • CCS CSC 1
• COBIT 5 DSS05.02
• ISA 62443-2-1:2009 4.2.3.4
• ISO/IEC 27001:2013 A.13.2.1
• NIST SP 800-53 Rev. 4 AC-4, CA-3, CA-9, PL-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.308(a)(3)(ii)(A),

164.308(a)(8), 164.310(d)
ID.AM-4: External information systems are catalogued • COBIT 5 APO02.02
• ISO/IEC 27001:2013 A.11.2.6
• NIST SP 800-53 Rev. 4 AC-20, SA-9
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(4)(ii)(A), 164.308(b),
164.314(a)(1), 164.314(a)(2)(i)(B),
164.314(a)(2)(ii), 164.316(b)(2)
ID.AM-5: Resources (e.g., hardware, devices, data, and software) are prioritized based on their classification, criticality, and business value • COBIT 5 APO03.03, APO03.04, 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
• HIPAA Security Rule 45 C.F.R. § 164.308(a)(7)(ii)(E )
ID.AM-6: Cybersecurity roles and responsibilities for the entire workforce and third- party stakeholders (e.g., suppliers, customers, partners) are established • COBIT 5 APO01.02, DSS06.03
• 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(2), 164.308(a)(3), 164.308(a)(4), 164.308(b)(1), 164.314
ID.BE-1: The organization’s role in the supply chain is identified and communicated • COBIT 5 APO08.04, APO08.05, APO10.03,
APO10.04, APO10.05
• ISO/IEC 27001:2013 A.15.1.3, A.15.2.1,
A.15.2.2
• NIST SP 800-53 Rev. 4 CP-2, SA-12
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.308(a)(4)(ii),
164.308(a)(7)(ii)(C), 164.308(a)(7)(ii)(E),
164.308(a)(8), 164.310(a)(2)(i), 164.314, 164.316
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. ID.BE-2: The organization’s place in critical infrastructure and its industry sector is identified and communicated • COBIT 5 APO02.06, APO03.01
• NIST SP 800-53 Rev. 4 PM-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.308(a)(4)(ii),
164.308(a)(7)(ii)(C), 164.308(a)(7)(ii)(E),
164.308(a)(8), 164.310(a)(2)(i), 164.314, 164.316
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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7)(ii)(B), 164.308(a)(7)(ii)(C),
164.308(a)(7)(ii)(D), 164.308(a)(7)(ii)(E), 164.310(a)(2)(i), 164.316
ID.BE-4: Dependencies and critical functions for delivery of critical services are established • 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7)(i), 164.308.(a)(7)(ii)(E),
164.310(a)(2)(i), 164.312(a)(2)(ii), 164.314(a)(1), 164.314(b)(2)(i)
ID.BE-5: Resilience requirements to support delivery of critical services are established • COBIT 5 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-14
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(B), 164.308(a)(6)(ii),
164.308(a)(7), 164.308(a)(8), 164.310(a)(2)(i),
164.312(a)(2)(ii), 164.314(b)(2)(i)
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 management of cybersecurity risk. ID.GV-1: Organizational information security policy is established • COBIT 5 APO13.12
• ISA 62443-2-1:2009 4.3.2.3.3
• ISO/IEC 27001:2013 A.6.1.1, A.7.2.1
• NIST SP 800-53 Rev. 4 PM-1, PS-7
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(i), 164.316
ID.GV-2: Information security roles & responsibilities are coordinated and aligned with internal roles and external partners • COBIT 5 APO13.12
• ISA 62443-2-1:2009 4.3.2.3.3
• ISO/IEC 27001:2013 A.6.1.1, A.7.2.1
• NIST SP 800-53 Rev. 4 PM-1, PS-7
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(i), 164.308(a)(2), 164.308(a)(3),
164.308(a)(4), 164.308(b), 164.314
ID.GV-3: Legal and regulatory requirements regarding cybersecurity, including privacy and civil liberties obligations, are understood and managed • COBIT 5 MEA03.01, MEA03.04
• ISA 62443-2-1:2009 4.4.3.7
• ISO/IEC 27001:2013 A.18.1
• NIST SP 800-53 Rev. 4 -1 controls from all families (except PM-1)
• HIPAA Security Rule 45 C.F.R. §§ 164.306, 164.308, 164.310, 164.312, 164.314, 164.316
ID.GV-4: Governance and risk management processes address cybersecurity risks • COBIT 5 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
• NIST SP 800-53 Rev. 4 PM-9, PM-11
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1), 164.308(b)
Risk Assessment (ID.RA): The organization understands the cybersecurity risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals. ID.RA-1: Asset vulnerabilities are identified and documented • CCS CSC 4
• COBIT 5 APO12.01, APO12.02, APO12.03, APO12.04
• 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, RA-3, RA-5, SA-5, SA-11, SI-2, SI-4, SI-5
• HIPAA Security Rule 45 C.F.R. §§ 164.308(a)(1)(ii)(A), 164.308(a)(7)(ii)(E),
164.308(a)(8), 164.310(a)(1), 164.312(a)(1),
164.316(b)(2)(iii)
ID.RA-2: Threat and vulnerability information is received from information sharing forums and sources • 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 PM-15, PM-16, SI-5
• No direct analog to HIPAA Security Rule
ID.RA-3: Threats, both internal and external, are identified and documented • 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
• NIST SP 800-53 Rev. 4 RA-3, SI-5, PM-12, PM-16
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.308(a)(1)(ii)(D),
164.308(a)(3), 164.308(a)(4),
164.308(a)(5)(ii)(A), 164.310(a)(1),
164.310(a)(2)(iii), 164.312(a)(1), 164.312(c),
164.312(e), 164.314, 164.316
ID.RA-4: Potential business impacts and likelihoods are identified • COBIT 5 DSS04.02
• ISA 62443-2-1:2009 4.2.3, 4.2.3.9, 4.2.3.12
• NIST SP 800-53 Rev. 4 RA-2, RA-3, PM-9, PM-11, SA-14
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(i), 164.308(a)(1)(ii)(A),
164.308(a)(1)(ii)(B), 164.308(a)(6),
164.308(a)(7)(ii)(E), 164.308(a)(8), 164.316(a)
ID.RA-5: Threats, vulnerabilities, likelihoods, and impacts are used to determine risk • COBIT 5 APO12.02
• ISO/IEC 27001:2013 A.12.6.1
• NIST SP 800-53 Rev. 4 RA-2, RA-3, PM-16
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.308(a)(1)(ii)(B),
164.308(a)(1)(ii)(D), 164.308(a)(7)(ii)(D),
164.308(a)(7)(ii)(E), 164.316(a)
ID.RA-6: Risk responses are identified and prioritized • COBIT 5 APO12.05, APO13.02
• NIST SP 800-53 Rev. 4 PM-4, PM-9
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(B), 164.314(a)(2)(i)(C),
164.314(b)(2)(iv)
ID.RM-1: Risk management processes are established, managed, and agreed to by organizational stakeholders • COBIT 5 APO12.04, APO12.05, APO13.02, BAI02.03, BAI04.02
• ISA 62443-2-1:2009 4.3.4.2
• NIST SP 800-53 Rev. 4 PM-9
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(1)(ii)(B)
Risk Management Strategy (ID.RM): The organization’s priorities, constraints, risk tolerances, and assumptions are established and used to support operational risk decisions. ID.RM-2: Organizational risk tolerance is determined and clearly expressed • COBIT 5 APO12.06
• ISA 62443-2-1:2009 4.3.2.6.5
• NIST SP 800-53 Rev. 4 PM-9
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(1)(ii)(B)
ID.RM-3: The organization’s determination of risk tolerance is informed by its role in critical infrastructure and sector specific risk analysis • NIST SP 800-53 Rev. 4 PM-8, PM-9, PM-11, SA-14
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(B), 164.308(a)(6)(ii),
164.308(a)(7)(i),
164.308(a)(7)(ii)(C),164.308(a)(7)(ii)(E),
164.310(a)(2)(i)
Access Control (PR.AC): Access to assets and associated facilities is limited to authorized users, processes, or devices, and to authorized activities and transactions. PR.AC-1: Identities and credentials are managed for authorized devices and users • CCS CSC 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
• ISO/IEC 27001:2013 A.9.2.1, A.9.2.2, A.9.2.4, A.9.3.1, A.9.4.2, A.9.4.3
• NIST SP 800-53 Rev. 4 AC-2, IA Family
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(3)(ii)(B), 164.308(a)(3)(ii)(C),
164.308(a)(4)(i), 164.308(a)(4)(ii)(B),
164.308(a)(4)(ii)(C ), 164.312(a)(2)(i),
164.312(a)(2)(ii), 164.312(a)(2)(iii),
164.312(d)
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.11.1.4, A.11.1.6, A.11.2.3
• NIST SP 800-53 Rev. 4 PE-2, PE-3, PE-4, PE-5, PE-6, PE-9
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(B), 164.308(a)(7)(i),
164.308(a)(7)(ii)(A), 164.310(a)(1),
164.310(a)(2)(i), 164.310(a)(2)(ii),
164.310(a)(2)(iii), 164.310(b), 164.310(c), 164.310(d)(1), 164.310(d)(2)(iii)
PR.AC-3: Remote access is managed • 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.6.2.2, A.13.1.1,
A.13.2.1
• NIST SP 800-53 Rev. 4 AC-17, AC-19, AC-20
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(4)(i), 164.308(b)(1),
164.308(b)(3), 164.310(b), 164.312(e)(1),
164.312(e)(2)(ii)
PR.AC-4: Access permissions are managed, incorporating the principles of least privilege and separation of duties • CCS CSC 12, 15
• 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
• NIST SP 800-53 Rev. 4 AC-2, AC-3, AC-5, AC-6, AC-16
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(3), 164.308(a)(4),
164.310(a)(2)(iii), 164.310(b), 164.312(a)(1), 164.312(a)(2)(i), 164.312(a)(2)(ii)
PR.AC-5: Network integrity is protected, incorporating
network segregation where appropriate
• 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
• NIST SP 800-53 Rev. 4 AC-4, SC-7
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(4)(ii)(B), 164.310(a)(1),
164.310(b), 164.312(a)(1), 164.312(b), 164.312(c), 164.312(e)
PR.AT-1: All users are informed and trained • CCS CSC 9
• COBIT 5 APO07.03, BAI05.07
• ISA 62443-2-1:2009 4.3.2.4.2
• ISO/IEC 27001:2013 A.7.2.2
• NIST SP 800-53 Rev. 4 AT-2, PM-13
• HIPAA Security Rule 45 C.F.R. § 164.308(a)(5)
Awareness and Training (PR.AT): The organization’s personnel and partners are provided cybersecurity awareness education and are adequately trained to perform their information security- related duties and responsibilities consistent with related policies, procedures, and agreements. PR.AT-2: Privileged users understand roles & responsibilities • CCS CSC 9
• COBIT 5 APO07.02, 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(2), 164.308(a)(3)(i),
164.308(a)(5)(i), 164.308(a)(5)(ii)(A),
164.308(a)(5)(ii)(B), 164.308(a)(5)(ii)(C),
164.308(a)(5)(ii)(D)
PR.AT-3: Third-party stakeholders (e.g., suppliers, customers, partners) understand roles & responsibilities • CCS CSC 9
• COBIT 5 APO07.03, APO10.04, APO10.05
• ISA 62443-2-1:2009 4.3.2.4.2
• ISO/IEC 27001:2013 A.6.1.1, A.7.2.2
• NIST SP 800-53 Rev. 4 PS-7, SA-9
• HIPAA Security Rule 45 C.F.R. §§
164.308(b), 164.314(a)(1), 164.314(a)(2)(i), 164.314(a)(2)(ii)
PR.AT-4: Senior executives understand roles & responsibilities • CCS CSC 9
• 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,
• NIST SP 800-53 Rev. 4 AT-3, PM-13
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(2), 164.308(a)(3)(i),
164.308(a)(5)(i), 164.308(a)(5)(ii)(A),
164.308(a)(5)(ii)(B), 164.308(a)(5)(ii)(C),
164.308(a)(5)(ii)(D)
PR.AT-5: Physical and information security personnel understand roles & responsibilities • CCS CSC 9
• 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,
• NIST SP 800-53 Rev. 4 AT-3, PM-13
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(2), 164.308(a)(3)(i),
164.308(a)(5)(i), 164.308(a)(5)(ii)(A),
164.308(a)(5)(ii)(B), 164.308(a)(5)(ii)(C),
164.308(a)(5)(ii)(D), 164.530(b)(1)
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 • CCS CSC 17
• COBIT 5 APO01.06, BAI02.01, BAI06.01, 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 SC-28
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(b)(1),
164.310(d), 164.312(a)(1), 164.312(a)(2)(iii),
164.312(a)(2)(iv), 164.312(b), 164.312(c)
164.314(b)(2)(i), 164.312(d)
PR.DS-2: Data-in- transit is protected • CCS CSC 17
• COBIT 5 APO01.06, 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(b)(1), 164.308(b)(2), 164.312(e)(1),
164.312(e)(2)(i), 164.312(e)(2)(ii),
164.314(b)(2)(i)
PR.DS-3: Assets are formally managed throughout removal, transfers, and disposition • COBIT 5 BAI09.03
• ISA 62443-2-1:2009 4. 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.11.2.7
• NIST SP 800-53 Rev. 4 CM-8, MP-6, PE-16
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.310(a)(2)(ii),
164.310(a)(2)(iii), 164.310(a)(2)(iv),
164.310(d)(1), 164.310(d)(2)
PR.DS-4: Adequate capacity to ensure availability is maintained • COBIT 5 APO13.01
• ISA 62443-3-3:2013 SR 7.1, SR 7.2
• ISO/IEC 27001:2013 A.12.3.1
• NIST SP 800-53 Rev. 4 AU-4, CP-2, SC-5
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.308(a)(1)(ii)(B),
164.308(a)(7), 164.310(a)(2)(i), 164.310(d)(2)(iv), 164.312(a)(2)(ii)
PR.DS-5: Protections against data leaks are implemented • CCS CSC 17
• COBIT 5 APO01.06
• 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.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, PE-19, PS-3, PS-6, SC-7, SC-8, SC-13, SC-31, SI-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(a)(3),
164.308(a)(4), 164.310(b), 164.310(c), 164.312(a), 164.312(e)
PR.DS-6: Integrity checking mechanisms are used to verify software, firmware, and information integrity • 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
• NIST SP 800-53 Rev. 4 SI-7
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.312(b), 164.312(c)(1), 164.312(c)(2), 164.312(e)(2)(i)
PR.DS-7: The development and testing environment(s) are separate from the production environment • COBIT 5 BAI07.04
• ISO/IEC 27001:2013 A.12.1.4
• NIST SP 800-53 Rev. 4 CM-2
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(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.IP-1: A baseline configuration of information technology/industrial control systems is created and maintained • CCS CSC 3, 10
• 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,
CM-5, CM-6, CM-7, CM-9, SA-10
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(8), 164.308(a)(7)(i),
164.308(a)(7)(ii)
PR.IP-2: A System Development Life Cycle to manage systems is implemented • COBIT 5 APO13.01
• ISA 62443-2-1:2009 4.3.4.3.3
• 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 SA-3, SA-4, SA-8, SA-10, SA-11, SA-12, SA-15, SA-17, PL-8
• HIPAA Security Rule 45 C.F.R. § 164.308(a)(1)(i)
PR.IP-3:
Configuration change control processes are in place
• COBIT 5 BAI06.01, BAI01.06
• 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
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(8)
PR.IP-4: Backups of information are conducted, maintained, and tested periodically • COBIT 5 APO13.01
• 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.17.1.2A.17.1.3, A.18.1.3
• NIST SP 800-53 Rev. 4 CP-4, CP-6, CP-9
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7)(ii)(A), 164.308(a)(7)(ii)(B),
164.308(a)(7)(ii)(D), 164.310(a)(2)(i), 164.310(d)(2)(iv)
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, PE-14, PE-15, PE-18
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7)(i), 164.308(a)(7)(ii)(C), 164.310,
164.316(b)(2)(iii)
PR.IP-6: Data is destroyed according to policy • COBIT 5 BAI09.03
• 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
• HIPAA Security Rule 45 C.F.R. §§
164.310(d)(2)(i), 164.310(d)(2)(ii)
PR.IP-7: Protection processes are continuously improved • COBIT 5 APO11.06, 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
• NIST SP 800-53 Rev. 4 CA-2, CA-7, CP-2, IR-8, PL-2, PM-6
• HIPAA Security Rule 45 C.F.R. §§
164.306(e), 164.308(a)(7)(ii)(D), 164.308(a)(8), 164.316(b)(2)(iii)
PR.IP-8: Effectiveness of protection technologies is shared with appropriate parties • ISO/IEC 27001:2013 A.16.1.6
• NIST SP 800-53 Rev. 4 AC-21, CA-7, SI-4
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(6)(ii)
PR.IP-9: Response plans (Incident Response and Business Continuity) and recovery plans (Incident Recovery and Disaster Recovery) are in place and managed • COBIT 5 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
• NIST SP 800-53 Rev. 4 CP-2, IR-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(6), 164.308(a)(7), 164.310(a)(2)(i), 164.312(a)(2)(ii)
PR.IP-10: Response and recovery plans are tested • 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
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(7)(ii)(D)
PR.IP-11: Cybersecurity is included in human resources practices (e.g., deprovisioning, personnel screening) • 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.7.3.1, A.8.1.4
• NIST SP 800-53 Rev. 4 PS Family
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(C), 164.308(a)(3)
PR.IP-12: A vulnerability management plan is developed and implemented • ISO/IEC 27001:2013 A.12.6.1, A.18.2.2
• NIST SP 800-53 Rev. 4 RA-3, RA-5, SI-2
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(i), 164.308(a)(1)(ii)(A), 164.308(a)(1)(ii)(B)
Maintenance (PR.MA): Maintenance and repairs of industrial control and information system components is performed consistent with policies and procedures. PR.MA-1: Maintenance and repair of organizational assets is performed and logged in a timely manner, with approved and controlled tools • COBIT 5 BAI09.03
• 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
• NIST SP 800-53 Rev. 4 MA-2, MA-3, MA-5
• HIPAA Security Rule 45 C.F.R. §§ 164.308(a)(3)(ii)(A), 164.310(a)(2)(iv)
PR.MA-2: Remote maintenance of organizational assets is approved, logged, and performed in a manner that
prevents unauthorized access
• COBIT 5 DSS05.04
• ISA 62443-2-1:2009 4.3.3.6.5, 4.3.3.6.6, 4.3.3.6.7, 4.4.4.6.8
• ISO/IEC 27001:2013 A.11.2.4, A.15.1.1, A.15.2.1
• NIST SP 800-53 Rev. 4 MA-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(3)(ii)(A), 164.310(d)(1),
164.310(d)(2)(ii), 164.310(d)(2)(iii),
164.312(a), 164.312(a)(2)(ii),
164.312(a)(2)(iv), 164.312(b), 164.312(d), 164.312(e), 164.308(a)(1)(ii)(D)
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. PR.PT-1: Audit/log records are determined, documented, implemented, and reviewed in accordance with policy • CCS CSC 14
• COBIT 5 APO11.04
• 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(a)(5)(ii)(C),
164.310(a)(2)(iv), 164.310(d)(2)(iii), 164.312(b)
PR.PT-2: Removable media is protected and its use restricted according to policy • COBIT 5 DSS05.02, APO13.01
• ISA 62443-3-3:2013 SR 2.3
• ISO/IEC 27001:2013 A.8.2.2, A.8.2.3,
A.8.3.1, A.8.3.3, A.11.2.9
• NIST SP 800-53 Rev. 4 MP-2, MP-4, MP-5, MP-7
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(3)(i), 164.308(a)(3)(ii)(A),
164.310(d)(1), 164.310(d)(2), 164.312(a)(1), 164.312(a)(2)(iv), 164.312(b)
PR.PT-3: Access to systems and assets is controlled, incorporating the principle of least functionality • COBIT 5 DSS05.02
• 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(3), 164.308(a)(4),
164.310(a)(2)(iii), 164.310(b), 164.310(c),
164.312(a)(1), 164.312(a)(2)(i), 164.312(a)(2)(ii), 164.312(a)(2)(iv)
PR.PT-4: Communications and control networks are protected • CCS CSC 7
• 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
• NIST SP 800-53 Rev. 4 AC-4, AC-17, AC-18, CP-8, SC-7
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.312(a)(1), 164.312(b), 164.312(e)
DE.AE-1: A baseline of network operations and expected data flows for users and systems is established and managed • COBIT 5 DSS03.01
• ISA 62443-2-1:2009 4.4.3.3
• NIST SP 800-53 Rev. 4 AC-4, CA-3, CM-2, SI-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.312(b)
Anomalies and Events (DE.AE): Anomalous activity is detected in a timely manner and the potential impact of events is understood. DE.AE-2: Detected events are analyzed to understand attack targets and methods • 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.16.1.1, A.16.1.4
• NIST SP 800-53 Rev. 4 AU-6, CA-7, IR-4, SI-4
• HIPAA Security Rule 45 C.F.R. §
164.308(6)(i)
DE.AE-3: Event data are aggregated and correlated from multiple sources and sensors • ISA 62443-3-3:2013 SR 6.1
• NIST SP 800-53 Rev. 4 AU-6, CA-7, IR-4, IR-5, IR-8, SI-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(a)(5)(ii)(B),
164.308(a)(5)(ii)(C), 164.308(a)(6)(ii),
164.308(a)(8), 164.310(d)(2)(iii), 164.312(b), 164.314(a)(2)(i)(C), 164.314(a)(2)(iii)
DE.AE-4: Impact of events is determined • COBIT 5 APO12.06
• NIST SP 800-53 Rev. 4 CP-2, IR-4, RA-3, SI -4
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(6)(ii)
DE.AE-5: Incident alert thresholds are established • COBIT 5 APO12.06
• ISA 62443-2-1:2009 4.2.3.10
• NIST SP 800-53 Rev. 4 IR-4, IR-5, IR-8
• HIPAA Security Rule 45 C.F.R. § 164.308(a)(6)(i)
Security Continuous Monitoring (DE.CM): The information system and assets are monitored at discrete intervals to identify cybersecurity events and verify the effectiveness of protective measures. DE.CM-1: The network is monitored to detect potential cybersecurity events • CCS CSC 14, 16
• COBIT 5 DSS05.07
• ISA 62443-3-3:2013 SR 6.2
• NIST SP 800-53 Rev. 4 AC-2, AU-12, CA-7, CM-3, SC-5, SC-7, SI-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(a)(5)(ii)(B),
164.308(a)(5)(ii)(C), 164.308(a)(8), 164.312(b), 164.312(e)(2)(i)
DE.CM-2: The physical environment is monitored to detect potential cybersecurity events • ISA 62443-2-1:2009 4.3.3.3.8
• NIST SP 800-53 Rev. 4 CA-7, PE-3, PE-6, PE-20
• HIPAA Security Rule 45 C.F.R. §§
164.310(a)(2)(ii), 164.310(a)(2)(iii)
DE.CM-3: Personnel activity is monitored to detect potential cybersecurity events • ISA 62443-3-3:2013 SR 6.2
• ISO/IEC 27001:2013 A.12.4.1
• NIST SP 800-53 Rev. 4 AC-2, AU-12, AU-13, CA-7, CM-10, CM-11
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(a)(3)(ii)(A),
164.308(a)(5)(ii)(C), 164.312(a)(2)(i), 164.312(b), 164.312(d), 164.312(e)
DE.CM-4: Malicious code is detected • CCS CSC 5
• 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(a)(5)(ii)(B)
DE.CM-5: Unauthorized mobile code is detected • ISA 62443-3-3:2013 SR 2.4
• ISO/IEC 27001:2013 A.12.5.1
• NIST SP 800-53 Rev. 4 SC-18, SI-4. SC-44
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(a)(5)(ii)(B)
DE.CM-6: External service provider activity is monitored to detect potential cybersecurity events • COBIT 5 APO07.06
• 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
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(1)(ii)(D)
DE.CM-7: Monitoring for unauthorized personnel, connections, devices, and software is performed • NIST SP 800-53 Rev. 4 AU-12, CA-7, CM-3, CM-8, PE-3, PE-6, PE-20, SI-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(D), 164.308(a)(5)(ii)(B),
164.308(a)(5)(ii)(C), 164.310(a)(1),
164.310(a)(2)(ii), 164.310(a)(2)(iii),
164.310(b), 164.310(c), 164.310(d)(1),
164.310(d)(2)(iii), 164.312(b), 164.314(b)(2)(i)
DE.CM-8: Vulnerability scans are performed • COBIT 5 BAI03.10
• 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
• HIPAA Security Rule 45 C.F.R. §§ 164.308(a)(1)(i), 164.308(a)(8)
Detection Processes (DE.DP): Detection processes and procedures are maintained and tested to ensure timely and adequate awareness of anomalous events. DE.DP-1: Roles and responsibilities for detection are well defined to ensure accountability • CCS CSC 5
• COBIT 5 DSS05.01
• ISA 62443-2-1:2009 4.4.3.1
• ISO/IEC 27001:2013 A.6.1.1
• NIST SP 800-53 Rev. 4 CA-2, CA-7, PM-14
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(2), 164.308(a)(3)(ii)(A),
164.308(a)(3)(ii)(B), 164.308(a)(4),
164.310(a)(2)(iii), 164.312(a)(1), 164.312(a)(2)(ii)
DE.DP-2: Detection activities comply with all applicable requirements • ISA 62443-2-1:2009 4.4.3.2
• ISO/IEC 27001:2013 A.18.1.4
• NIST SP 800-53 Rev. 4 CA-2, CA-7, PM-14, SI-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(i), 164.308(a)(8)
DE.DP-3: Detection processes are tested • COBIT 5 APO13.02
• 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, PM-14, SI-3, SI-4
• HIPAA Security Rule 45 C.F.R. § 164.306(e)
DE.DP-4: Event detection information is communicated to appropriate parties • COBIT 5 APO12.06
• 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
• NIST SP 800-53 Rev. 4 AU-6, CA-2, CA-7, RA-5, SI-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(6)(ii), 164.314(a)(2)(i)(C),
164.314(a)(2)(iii)
DE.DP-5: Detection processes are continuously improved • COBIT 5 APO11.06, 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, RA-5, SI-4, PM-14
• HIPAA Security Rule 45 C.F.R. §§
164.306(e), 164.308(a)(8)
Response Planning (RS.RP): Response processes and procedures are executed and maintained, to ensure timely response to detected cybersecurity events. RS.RP-1: Response plan is executed during or after an event • COBIT 5 BAI01.10
• CCS CSC 18
• 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(6)(ii), 164.308(a)(7)(i),
164.308(a)(7)(ii)(A), 164.308(a)(7)(ii)(B),
164.308(a)(7)(ii)(C), 164.310(a)(2)(i), 164.312(a)(2)(ii)
Communications (RS.CO): Response activities are coordinated with internal and external stakeholders, as appropriate, to include external support from law enforcement agencies. RS.CO-1: Personnel know their roles and order of operations when a response is needed • 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.16.1.1
• NIST SP 800-53 Rev. 4 CP-2, CP-3, IR-3, IR-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(2), 164.308(a)(7)(ii)(A),
164.308(a)(7)(ii)(B), 164.308(a)(7)(ii)(C),
164.310(a)(2)(i), 164.308(a)(6)(i), 164.312(a)(2)(ii)
RS.CO-2: Events are reported consistent with established criteria • 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(5)(ii)(B), 164.308(a)(5)(ii)(C),
164.308(a)(6)(ii), 164.314(a)(2)(i)(C), 164.314(a)(2)(iii)
RS.CO-3: Information is shared consistent with response plans • ISA 62443-2-1:2009 4.3.4.5.2
• ISO/IEC 27001:2013 A.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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(5)(ii)(B), 164.308(a)(5)(ii)(C), 164.308(a)(6)(ii), 164.314(a)(2)(i)(C)
RS.CO-4: Coordination with stakeholders occurs consistent with response plans • ISA 62443-2-1:2009 4.3.4.5.5
• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(6), 164.308(a)(7), 164.310(a)(2)(i), 164.312(a)(2)(ii)
RS.CO-5: Voluntary information sharing occurs with external stakeholders to achieve broader cybersecurity situational awareness • NIST SP 800-53 Rev. 4 PM-15, SI-5
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(6)
RS.AN-1: Notifications from detection systems are investigated • COBIT 5 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
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(i), 164.308(a)(1)(ii)(D),
164.308(a)(5)(ii)(B), 164.308(a)(5)(ii)(C), 164.308(a)(6)(ii), 164.312(b)
Analysis (RS.AN): Analysis is conducted to ensure adequate response and support recovery activities. RS.AN-2: The impact of the incident is understood • 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.16.1.6
• NIST SP 800-53 Rev. 4 CP-2, IR-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(6)(ii), 164.308(a)(7)(ii)(B),
164.308(a)(7)(ii)(C), 164.308(a)(7)(ii)(E)
RS.AN-3: Forensics are performed • 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
• HIPAA Security Rule 45 C.F.R. § 164.308(a)(6)
RS.AN-4: Incidents are categorized consistent with response plans • 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
• HIPAA Security Rule 45 C.F.R. § 164.308(a)(6)(ii)
RS.MI-1: Incidents are contained • 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.16.1.5
• NIST SP 800-53 Rev. 4 IR-4
• HIPAA Security Rule 45 C.F.R. § 164.308(a)(6)(ii)
Mitigation (RS.MI): Activities are performed to prevent expansion of an event, mitigate its effects, and eradicate the incident. RS.MI-2: Incidents are mitigated • 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
• HIPAA Security Rule 45 C.F.R. § 164.308(a)(6)(ii)
RS.MI-3: Newly identified vulnerabilities are mitigated or documented as accepted risks • ISO/IEC 27001:2013 A.12.6.1
• NIST SP 800-53 Rev. 4 CA-7, RA-3, RA-5
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(1)(ii)(A), 164.308(a)(1)(ii)(B), 164.308(a)(6)(ii)
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
• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7)(ii)(D), 164.308(a)(8), 164.316(b)(2)(iii))
RS.IM-2: Response strategies are updated • NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7)(ii)(D), 164.308(a)(8)
RECOVER (RC) Recovery Planning (RC.RP): Recovery processes and procedures are
executed and maintained to ensure timely restoration of systems or assets affected by cybersecurity events.
RC.RP-1: Recovery
• CCS CSC 8
• COBIT 5 DSS02.05, DSS03.04
• ISO/IEC 27001:2013 A.16.1.5
• NIST SP 800-53 Rev. 4 CP-10, IR-4, IR-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7), 164.310(a)(2)(i)
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 BAI05.07
• ISA 62443-2-1:2009 4.4.3.4
• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7)(ii)(D), 164.308(a)(8),
164.316(b)(2)(iii)
RC.IM-2: Recovery strategies are updated • COBIT 5 BAI07.08
• NIST SP 800-53 Rev. 4 CP-2, IR-4, IR-8
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(7)(ii)(D), 164.308(a)(8)
Communications (RC.CO): Restoration activities are coordinated with internal and external parties, such as coordinating centers, Internet Service Providers, owners of attacking systems, victims, other CSIRTs, and vendors. RC.CO-1: Public relations are managed • COBIT 5 EDM03.02
• HIPAA Security Rule 45 C.F.R. §
164.308(a)(6)(i)
RC.CO-3: Recovery activities are communicated to internal stakeholders and executive and management teams • NIST SP 800-53 Rev. 4 CP-2, IR-4
• HIPAA Security Rule 45 C.F.R. §§
164.308(a)(6)(ii), 164.308(a)(7)(ii)(B),
164.308(a)(7)(ii)(C), 164.310(a)(2)(i), 164.314(a)(2)(i)(C)