CIS Controls

v8
Version 8
CIS Controls VERSION 8
Acknowledgments
CIS would like to thank the many security experts who volunteer their time and talent to support the CIS
Controls and other CIS work. CIS products represent the effort of a veritable army of volunteers from
across the industry, generously giving their time and talent in the name of a more secure online experience
for everyone.

Creative Commons License

This work is licensed under a Creative Commons Attribution-NonCommercial-No Derivatives 4.0 International
Public License (the link can be found at https://creativecommons.org/licenses/by-nc-nd/4.0/legalcode.

To further clarify the Creative Commons license related to the CIS Controls® content, you are authorized to
copy and redistribute the content as a framework for use by you, within your organization and outside of your
organization, for non-commercial purposes only, provided that (i) appropriate credit is given to CIS, and (ii)
a link to the license is provided. Additionally, if you remix, transform, or build upon the CIS Controls, you may
not distribute the modified materials. Users of the CIS Controls framework are also required to refer to (http://
www.cisecurity.org/controls/) when referring to the CIS Controls in order to ensure that users are employing
the most up-to-date guidance. Commercial use of the CIS Controls is subject to the prior approval of the
Center for Internet Security, Inc. (CIS®).

May 2021
Contents
Glossary. . .............................................................................................................. iv

Acronyms and Abbreviations.................................................................................vii

Overview

Introduction........................................................................................................... 1
Evolution of the CIS Controls 1
This Version of the CIS Controls 3
The CIS Controls Ecosystem (“It’s not about the list”) 4
How to Get Started 5
Using or Transitioning from Prior Versions of the CIS Controls 5
Structure of the CIS Controls 5
Implementation Groups 6

CIS Controls

Control 01. Inventory and Control of Enterprise Assets. . ........................................................... 8

Why is this Control critical? 8
Procedures and tools 9
Safeguards 10

Control 02. Inventory and Control of Software Assets............................................................. 11

Why is this Control critical? 11
Procedures and tools 12
Safeguards 12

Control 03. Data Protection.................................................................................................... 14

Why is this Control critical? 14
Procedures and tools 15
Safeguards 15

Control 04. Secure Configuration of Enterprise Assets and Software...................................... 17

Why is this Control critical? 17
Procedures and tools 18
Safeguards 19

Control 05. Account Management.......................................................................................... 20

Why is this Control critical? 20
Procedures and tools 21
Safeguards 21

CIS Controls v8  i
 Control 06. Access Control Management. . .............................................................................. 23
Why is this Control critical? 23
Procedures and tools 24
Safeguards 24

Control 07. Continuous Vulnerability Management................................................................. 26

Why is this Control critical? 26
Procedures and tools 27
Safeguards 28

Control 08. Audit Log Management........................................................................................ 29

Why is this Control critical? 29
Procedures and tools 29
Safeguards 30

Control 09. Email and Web Browser Protections..................................................................... 31

Why is this Control critical? 31
Procedures and tools 31
Safeguards 32

Control 10. Malware Defenses................................................................................................ 34

Why is this Control critical? 34
Procedures and tools 34
Safeguards 35

Control 11. Data Recovery...................................................................................................... 36

Why is this Control critical? 36
Procedures and tools 37
Safeguards 37

Control 12. Network Infrastructure Management.................................................................... 38

Why is this Control critical? 38
Procedures and tools 38
Safeguards 39

Control 13. Network Monitoring and Defense......................................................................... 40

Why is this Control critical? 40
Procedures and tools 41
Safeguards 41

Control 14. Security Awareness and Skills Training................................................................ 43

Why is this Control critical? 43
Procedures and tools 43
Safeguards 44

CIS Controls v8  ii
 Control 15. Service Provider Management. . ............................................................................ 46
Why is this Control critical? 46
Procedures and tools 47
Safeguards 47

Control 16. Application Software Security.............................................................................. 49

Why is this Control critical? 49
Procedures and tools 50
Safeguards 52

Control 17. Incident Response Management. . ......................................................................... 54

Why is this Control critical? 54
Procedures and tools 55
Safeguards 55

Control 18. Penetration Testing.............................................................................................. 57

Why is this Control critical? 57
Procedures and tools 58
Safeguards 59

Appendix

Resources and References................................................................................... A1

Controls and Safeguards Index. . ........................................................................... A3

CIS Controls v8  iii

Glossary
Administrator accounts Dedicated accounts with escalated privileges and used for managing aspects of a
computer, domain, or the whole enterprise information technology infrastructure.
Common administrator account subtypes include root accounts, local administrator
and domain administrator accounts, and network or security appliance
administrator accounts.

Application A program, or group of programs, hosted on enterprise assets and designed for end-
users. Applications are considered a software asset in this document. Examples include
web, database, cloud-based, and mobile applications.

Authentication systems A system or mechanism used to identify a user through associating an incoming request
with a set of identifying credentials. The credentials provided are compared to those on
a file in a database of the authorized user’s information on a local operating system, user
directory service, or within an authentication server. Examples of authentication systems
can include active directory, Multi-Factor Authentication (MFA), biometrics, and tokens.

Authorization systems A system or mechanism used to determine access levels or user/client privileges related
to system resources including files, services, computer programs, data, and application
features. An authorization system grants or denies access to a resource based on the
user’s identity. Examples of authorization systems can include active directory, access
control lists, and role-based access control lists.

Cloud environment A virtualized environment that provides convenient, on-demand network access
to a shared pool of configurable resources such as network, computing, storage,
applications, and services. There are five essential characteristics to a cloud
environment: on-demand self-service, broad network access, resource pooling, rapid
elasticity, and measured service. Some services offered through cloud environments
include Software as a Service (SaaS), Platform as a Service (PaaS), and Infrastructure as
a Service (IaaS).

Database Organized collection of data, generally stored and accessed electronically from a
computer system. Databases can reside remotely or on-site. Database Management
Systems (DMSs) are used to administer databases, and are not considered part of a
database for this document.

End-user devices Information technology (IT) assets used among members of an enterprise during work,
off-hours, or any other purpose. End-user devices include mobile and portable devices
such as laptops, smartphones and tablets, as well as desktops and workstations. For the
purpose of this document, end-user devices are a subset of enterprise assets.

Enterprise assets Assets with the potential to store or process data. For the purpose of this document,
enterprise assets include end-user devices, network devices, non-computing/Internet of
Things (IoT) devices, and servers, in virtual, cloud-based, and physical environments.

Externally-exposed Refers to enterprise assets that are public facing and discoverable through domain
enterprise assets name system reconnaissance and network scanning from the public internet outside of
the enterprise’s network.

Internal enterprise assets Refers to non-public facing enterprise assets that can only be identified through network
scans and reconnaissance from within an enterprise’s network through authorized
authenticated or unauthenticated access.

CIS Controls v8 Glossary iv

Library Pre-written code, classes, procedures, scripts, configuration data, and more,
used to develop software programs and applications. It is designed to assist
both the programmer and the programming language compiler in building and
executing software.

Mobile end-user devices Small, enterprise issued end-user devices with intrinsic wireless capability, such as
smartphones and tablets. Mobile end-user devices are a subset of portable end-user
devices, including laptops, which may require external hardware for connectivity. For the
purpose of this document, mobile end-user devices are a subset of end-user devices.

Network devices Electronic devices required for communication and interaction between devices on a
computer network. Network devices include wireless access points, firewalls, physical/
virtual gateways, routers, and switches. These devices consist of physical hardware,
as well as virtual and cloud-based devices. For the purpose of this document, network
devices are a subset of enterprise assets.

Network infrastructure Refers to all of the resources of a network that make network or internet connectivity,
management, business operations, and communication possible. It consists of hardware
and software, systems and devices, and it enables computing and communication
between users, services, applications, and processes. Network infrastructure can be
cloud, physical, or virtual.

Non-computing/Internet of Devices embedded with sensors, software, and other technologies for the purpose
Things (IoT) devices of connecting, storing, and exchanging data with other devices and systems over the
internet. While these devices are not used for computational processes, they support an
enterprise’s ability to conduct business processes. Examples of these devices include
printers, smart screens, physical security sensors, industrial control systems, and
information technology sensors. For the purpose of this document, non-computing/IoT
devices are a subset of enterprise assets.

Operating system System software on enterprise assets that manages computer hardware and software
resources, and provides common services for programs. Operating systems are
considered a software asset and can be single- and multi-tasking, single- and multi-
user, distributed, templated, embedded, real-time, and library.

Physical environment Physical hardware parts that make up a network, including cables and routers. The
hardware is required for communication and interaction between devices on a network.

Portable end-user devices Transportable, end-user devices that have the capability to wirelessly connect to a
network. For the purpose of this document, portable end-user devices can include
laptops and mobile devices such as smartphones and tablets, all of which are a subset
of enterprise assets.

Remote devices Any enterprise asset capable of connecting to a network remotely, usually from public
internet. This can include enterprise assets such as end-user devices, network devices,
non-computing/Internet of Things (IoT) devices, and servers.

Remote file systems Enable an application that runs on an enterprise asset to access files stored on a
different asset. Remote file systems often make other resources, such as remote non-
computing devices, accessible from an asset. The remote file access takes place
using some form of local area network, wide area network, point-to-point link, or other
communication mechanism. These file systems are often referred to as network file
systems or distributed file systems.

CIS Controls v8 Glossary v

Removable media Any type of storage device that can be removed from a computer while the system
is running and allows data to be moved from one system to another. Examples of
removable media include compact discs (CDs), digital versatile discs (DVDs) and
Blu‑ray discs, tape backups, as well as diskettes and universal serial bus (USB) drives.

Servers A device or system that provides resources, data, services, or programs to other devices
on either a local area network or wide area network. Servers can provide resources
and use them from another system at the same time. Examples include web servers,
application servers, mail servers, and file servers.

Service accounts A dedicated account with escalated privileges used for running applications and other
processes. Service accounts may also be created just to own data and configuration
files. They are not intended to be used by people, except for performing administrative
operations.

Services Refers to a software functionality or a set of software functionalities, such as the

retrieval of specified information or the execution of a set of operations. Services
provide a mechanism to enable access to one or more capabilities, where the access is
provided using a prescribed interface and based on the identity of the requestor per the
enterprise’s usage policies.

Social engineering Refers to a broad range of malicious activities accomplished through human interactions
on various platforms, such as email or phone. It relies on psychological manipulation to
trick users into making security mistakes or giving away sensitive information.

Software assets Also referred to as software in this document, these are the programs and other
operating information used within an enterprise asset. Software assets include operating
systems and applications.

User accounts An identity created for a person in a computer or computing system. For the purpose
of this document, user accounts refer to “standard” or “interactive” user accounts with
limited privileges and are used for general tasks such as reading email and surfing the
web. User accounts with escalated privileges are covered under administrator accounts.

Virtual environment Simulates hardware to allow a software environment to run without the need to use
a lot of actual hardware. Virtualized environments are used to make a small number
of resources act as many with plenty of processing, memory, storage, and network
capacity. Virtualization is a fundamental technology that allows cloud computing to work.

CIS Controls v8 Glossary vi

Acronyms and Abbreviations
AAA Authentication, Authorization, HECVAT Higher Education Community Vendor
and Auditing Assessment Toolkit
ACL Access Control List HIPAA Health Insurance Portability and
AD Active Directory Accountability Act

AoC Attestation of Compliance HTTP Hypertext Transfer Protocol

API Application Programming Interface HTTPS Hypertext Transfer Protocol Secure

BEC Business Email Compromise IaaS Infrastructure as a Service

C2 Command and Control IAM Identity and Access Management

CCE Common Configuration Enumeration IDS Intrusion Detection System

CDM Community Defense Model IG Implementation Group

CIA Confidentiality, Integrity, and Availability IOCs Indicators of Compromise

CIS Center for Internet Security IoT Internet of Things

CIS-CAT CIS Configuration Assessment Tool IP Internet Protocol

COTS Commercial off-the-Shelf IPS Intrusion Prevention System

CPE Common Platform Enumeration ISAC Information Sharing and Analysis

Center
CREST Council of Registered Security Testers
ISO International Organization for
CSA Cloud Security Alliance Standardization
CSP Cloud Service Provider IT Information Technology
CVE Common Vulnerabilities and Exposures LotL Living off the Land
CVSS Common Vulnerability Scoring System MDM Mobile Device Management
DBIR Data Breach Investigations Report MFA Multi-Factor Authentication
DEP Data Execution Prevention MITRE MITRE Adversarial Tactics, Techniques,
DG Development Group ATT&CK and Common Knowledge®
DHCP Dynamic Host Configuration Protocol MS-ISAC Multi-State Information Sharing and
DKIM DomainKeys Identified Mail Analysis Center

DLP Data Loss Prevention NaaS Network-as-a-Service

DMARC Domain-based Message Authentication, NCSA National Cyber Security Alliance

Reporting, and Conformance NIDS Network Intrusion Detection System
DMS Database Management System NIST National Institute of Standards
DNS Domain Name System and Technology

DPI Deep Packet Inspection OS Operating System

EDR Endpoint Detection and Response OSS Open Source Software

EOL End of Life OVAL Open Vulnerability and

Assessment Language
FFIEC Federal Financial Institutions
Examination Council OWASP Open Web Application Security Project

FISMA Federal Information Security PaaS Platform as a Service

Modernization Act PAM Privileged Access Management
GRC Governance Risk and Compliance PCI Payment Card Industry

CIS Controls v8 Acronyms and Abbreviations vii

SaaS Software as a Service
SAFECode Software Assurance Forum for
Excellence in Code
SCADA Supervisory Control and Data Acquisition
SCAP Security Content Automation Protocol
SIEM Security Information and
Event Management
SIP System Integrity Protection
SMS Short Messaging Service
SOC Security Operations Center
SOC 2 Service Organization Control 2
SPAM Something Posing as Mail
SPF Sender Policy Framework
SQL Structured Query Language
SSDF Secure Software
Development Framework
SSH Secure Shell
SSO Single Sign-On
Telnet Teletype Network
TLS Transport Layer Security
TTPs Tactics, Techniques, and Procedures
U.K. United Kingdom
URL Uniform Resource Locator
USB Universal Serial Bus
VPN Virtual Private Network
WDEG Windows Defender Exploit Guard
WPA2 Wi-Fi Protected Access 2
XCCDF Extensible Configuration Checklist
Description Format

CIS Controls v8 Acronyms and Abbreviations viii

Overview
Introduction
The CIS Controls® started as a simple grassroots activity to identify the most common
and important real-world cyber-attacks that affect enterprises every day, translate that
knowledge and experience into positive, constructive action for defenders, and then
share that information with a wider audience. The original goals were modest—to help
people and enterprises focus their attention and get started on the most important
steps to defend themselves from the attacks that really mattered.

Led by the Center for Internet Security® (CIS®), the CIS Controls have matured into an
international community of volunteer individuals and institutions that:
• Share insights into attacks and attackers, identify root causes, and translate that
into classes of defensive action
• Create and share tools, working aids, and stories of adoption and problem-solving
• Map the CIS Controls to regulatory and compliance frameworks in order to ensure
alignment and bring collective priority and focus to them
• Identify common problems and barriers (like initial assessment and implementation
roadmaps), and solve them as a community

The CIS Controls reflect the combined knowledge of experts from every part of the
ecosystem (companies, governments, individuals), with every role (threat responders
and analysts, technologists, information technology (IT) operators and defenders,
vulnerability-finders, tool makers, solution providers, users, policy-makers, auditors,
etc.), and across many sectors (government, power, defense, finance, transportation,
academia, consulting, security, IT, etc.), who have banded together to create, adopt, and
support the CIS Controls.

Evolution of the CIS Controls

The CIS Controls started like many similar activities; we gathered experts together,
and shared and argued until we reached an agreement. This can be very valuable,
depending on the people at the table and their experience. Through documenting and
sharing the output, all enterprises can benefit from the work of people they cannot
hire or even meet. You can improve the outcome (and your confidence in it) through
selecting experts that represent a wide range of knowledge, bringing consistency to the
process, and ensuring use of the best-available information (especially about attacks).
In the end, you are still depending on the good judgment of a relatively small group of
people, captured in an informal and narrative way.

At CIS, we have been on a multi-year path to bring more data, rigor, and transparency
to the process of best practice recommendations (the CIS Benchmarks™ and the
CIS Controls). All of these elements are essential to the maturation of a science to
underlie cyber defense; and, all are necessary to allow the tailoring and “negotiation” of
security actions applicable in specific cases, and as required through specific security
frameworks, regulations, and similar oversight schemes.

CIS Controls v8 Introduction 1

 In the earliest versions of the CIS Controls, we used a standard list of publicly known
attacks as a simple and informal test of the usefulness of specific recommendations.
Starting in 2013, we worked with the Verizon Data Breach Investigations Report (DBIR)
team to map the results of their large-scale data analysis directly to the CIS Controls,
as a way to match their summaries of attacks into a standard program for defensive
improvement.

CIS has recently released the Community Defense Model (CDM), which is our most
data-driven approach so far. In its initial version, the CDM looks at the conclusions
from the most recent Verizon DBIR, along with data from the Multi-State Information
Sharing and Analysis Center® (MS-ISAC®), to identify what we believe to be the
five most important types of attacks. We describe those attacks using the MITRE
Adversarial Tactics, Techniques, and Common Knowledge® (MITRE ATT&CK®)
Framework in order to create attack patterns (or specific combinations of Tactics and
Techniques used in those attacks). This allows us to analyze the value of individual
defensive actions (i.e., Safeguards1) against those attacks. Specifically, it also provides a
consistent and explainable way to look at the security value of a given set of defensive
actions across the attacker’s life cycle, and provide a basis for strategies like defense-
in-depth. The details of this analysis are available on the CIS website. The bottom
line is that we have taken a major step towards identifying the security value of the
CIS Controls, or any subset of them. While these ideas are still evolving, at CIS we
are committed to the idea of security recommendations based on data, presented
transparently. For additional information, reference https://www.cisecurity.org/
controls/v8/.

These activities ensure that the CIS Security Best Practices (which include the CIS
Controls and CIS Benchmarks) are more than a checklist of “good things to do,” or
“things that could help”; instead, they are a prescriptive, prioritized, highly focused
set of actions that have a community support network to make them implementable,
usable, scalable, and in alignment with all industry or government security
requirements.

“Safeguards” were known as “Sub-Controls” prior to Version 8 of the CIS Controls.

1

CIS Controls v8 Introduction 2

This Version of the CIS Controls
When we begin the work of a new version, we first sit down to establish “design
principles” that will be used to guide the process. These serve as a decision
“touchstone” to remind us of what is really important, and of the goals of the CIS
Controls. While these have been fairly consistent since the earliest versions of the CIS
Controls, we have been refining our thinking over the last couple of versions to focus on
the role that the CIS Controls play in the total picture of enterprise security.

Our design principles include:

• Offense Informs Defense
– CIS Controls are selected, dropped, and prioritized based on data, and on
specific knowledge of attacker behavior and how to stop it
• Focus
– Help defenders identify the most critical things they need to do to stop the most
important attacks
– Avoid being tempted to solve every security problem—avoid adding “good
things to do” or “things you could do”
• Feasible
– All individual recommendations (Safeguards) must be specific and practical to
implement
• Measurable
– All CIS Controls, especially for Implementation Group 1, must be measurable
– Simplify or remove ambiguous language to avoid inconsistent interpretation
– Some Safeguards may have a threshold
• Align
– Create and demonstrate “peaceful co-existence” with other governance,
regulatory, process management schemes, framework, and structures
– Cooperate with and point to existing, independent standards and security
recommendations where they exist, e.g., National Institute of Standards and
Technology® (NIST®), Cloud Security Alliance (CSA), Software Assurance Forum
for Excellence in Code (SAFECode), ATT&CK, Open Web Application Security
Project® (OWASP®)

In addition, since Version 7, we have all seen significant changes in technology and the
cybersecurity ecosystem. Movement to cloud-based computing, virtualization, mobility,
outsourcing, Work-from-Home, and changing attacker tactics have been central in
every discussion. Physical devices, fixed boundaries, and discrete islands of security
implementation are less important, and so we reflect that in Version 8, through revised
terminology and grouping of Safeguards. Also, to guide adopters in implementing
Version 8, CIS created a glossary to remove ambiguity of terminology. Some ideas
have been combined or grouped differently to more naturally reflect the evolution of
technology, rather than how enterprise teams or responsibilities might be organized,
and always referring back to our guiding principles.

The text of the CIS Controls document is just one step of a process to design,
implement, measure, report, and manage enterprise security. Taking this entire work
stream into account as we write the CIS Controls, we can support the total enterprise
management process through: making sure that each Safeguard asks for “one thing,”

CIS Controls v8 Introduction 3

 wherever possible, in a way that is clear and requires minimal interpretation; that we
focus on measurable actions, and define the measurement as part of the process; and,
that we simplify the language to avoid duplication.

At CIS, we have always tried to be very conscious of the balance between addressing
current topics and the stability of an overall defensive improvement program. We have
always tried to focus on the foundations of good cyber defense—and, always tried to
keep our eyes on emerging new defensive technology—while avoiding the “shiny new
toys” or complex technology that is out of reach for most enterprises.

The CIS Controls Ecosystem (“It’s not about the list”)

Whether you use the CIS Controls, and/or another way to guide your security
improvement program, you should recognize that “it’s not about the list.” You can get a
credible list of security recommendations from many sources—it is best to think of the
list as a starting point. It is important to look for the ecosystem that grows up around
the list. Where can I get training, complementary information, explanations; how have
others implemented and used these recommendations; is there a marketplace of
vendor tools and services to choose from; how will I measure progress or maturity;
how does this align with the myriad regulatory and compliance frameworks that
apply to me? The true power of the CIS Controls is not about creating the best list, it
is about harnessing the experience of a community of individuals and enterprises to
actually make security improvements through the sharing of ideas, tools, lessons, and
collective action.

To support this, CIS acts as a catalyst and clearinghouse to help us all learn from each
other. Since Version 6, there has been an explosion of complementary information,
products, and services available from CIS, and from the industry-at-large. Please
contact CIS for the following kinds of working aids and other support materials,
https://www.cisecurity.org/controls/v8/:
• Mappings from the CIS Controls to a very wide variety for formal Risk Management
Frameworks (like NIST®, Federal Information Security Modernization Act (FISMA),
International Organization for Standardization (ISO), etc.)
• Use cases of enterprise adoption
• A list of ongoing references to the CIS Controls in national and international
standards, state and national legislation and regulation, trade and professional
associations, etc.
• Information tailored for small and medium enterprises
• Measurement and metrics for the CIS Controls
• Pointers to vendor white papers and other materials that support the CIS Controls
• Documentation on alignment with the NIST® Cybersecurity Framework

CIS Controls v8 Introduction 4

How to Get Started
Historically, the CIS Controls were ordered in sequence to focus an enterprise’s
cybersecurity activities, with a subset of the first six CIS Controls referred to as
“cyber hygiene.” However, this proved to be too simplistic. Enterprises, especially
small ones, could struggle with some of the early Safeguards and never get around
to implementing later CIS Controls (for example, having a backup strategy to help
recover from ransomware). As a result, starting with Version 7.1, we created CIS
Controls Implementation Groups (IGs) as our recommended new guidance to prioritize
implementation.

The CIS Controls IGs are self-assessed categories for enterprises. Each IG identifies a
subset of the CIS Controls that the community has broadly assessed to be applicable
for an enterprise with a similar risk profile and resources to strive to implement. These
IGs represent a horizontal look across the CIS Controls tailored to different types of
enterprises. Specifically, we have defined IG1 as “basic cyber hygiene,” the foundational
set of cyber defense Safeguards that every enterprise should apply to guard against
the most common attacks (https://www.cisecurity.org/controls/v8/). Each IG then
builds upon the previous one: IG2 includes IG1, and IG3 includes all CIS Safeguards in
IG1 and IG2.

Using or Transitioning from Prior Versions of the CIS Controls

We believe that Version 8 of the CIS Controls is the best we have ever produced.
We also appreciate that enterprises who are actively using prior versions of the CIS
Controls as a key part of their defensive strategy might be reluctant to move to Version
8. Our recommendation is that if you are using Version 7 or Version 7.1, you are following
an effective and usable security plan, and over time you should consider moving to
Version 8. If you are using Version 6 (or earlier), our recommendation is that you should
start to plan a transition to Version 8 as soon as practicable.

For prior versions of the CIS Controls, we were able to provide only the simplest tools
to aid in transition from prior versions, basically a spreadsheet-based change log. For
Version 8, we have taken a much more holistic approach and worked with numerous
partners to ensure that the CIS Controls ecosystem is ready to support your transition,
https://www.cisecurity.org/controls/v8/.

Structure of the CIS Controls

The presentation of each Control in this document includes the following elements:
• Overview. A brief description of the intent of the Control and its utility as a
defensive action
• Why is this Control critical? A description of the importance of this Control in
blocking, mitigating, or identifying attacks, and an explanation of how attackers
actively exploit the absence of this Control
• Procedures and tools. A more technical description of the processes and
technologies that enable implementation and automation of this Control
• Safeguard descriptions. A table of the specific actions that enterprises should take
to implement the Control

CIS Controls v8 Introduction 5

Implementation Groups

IG1

An IG1 enterprise is small to medium-sized with limited IT and cybersecurity expertise

to dedicate towards protecting IT assets and personnel. The principal concern of
these enterprises is to keep the business operational, as they have a limited tolerance
for downtime. The sensitivity of the data that they are trying to protect is low and
principally surrounds employee and financial information.

Safeguards selected for IG1 should be implementable with limited cybersecurity

expertise and aimed to thwart general, non-targeted attacks. These Safeguards will also
typically be designed to work in conjunction with small or home office commercial off-
the-shelf (COTS) hardware and software.

IG2 (Includes IG1)

An IG2 enterprise employs individuals responsible for managing and protecting IT

infrastructure. These enterprises support multiple departments with differing risk
profiles based on job function and mission. Small enterprise units may have regulatory
compliance burdens. IG2 enterprises often store and process sensitive client or
enterprise information and can withstand short interruptions of service. A major
concern is loss of public confidence if a breach occurs.

Safeguards selected for IG2 help security teams cope with increased operational
complexity. Some Safeguards will depend on enterprise-grade technology and
specialized expertise to properly install and configure.

IG3 (Includes IG1 and IG2)

An IG3 enterprise employs security experts that specialize in the different facets of
cybersecurity (e.g., risk management, penetration testing, application security). IG3
assets and data contain sensitive information or functions that are subject to regulatory
and compliance oversight. An IG3 enterprise must address availability of services
and the confidentiality and integrity of sensitive data. Successful attacks can cause
significant harm to the public welfare.

Safeguards selected for IG3 must abate targeted attacks from a sophisticated adversary
and reduce the impact of zero-day attacks.

CIS Controls v8 Introduction 6

CIS Controls
 01 Inventory and Control
CONTROL

of Enterprise Assets
SAFEGUARDS TOTAL• 5 IG1• 2/5 IG2• 4/5 IG3• 5/5

Overview 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.

Why is this Control critical?

Enterprises cannot defend what they do not know they have. Managed control of all
enterprise assets also plays a critical role in security monitoring, incident response,
system backup, and recovery. Enterprises should know what data is critical to them,
and proper asset management will help identify those enterprise assets that hold or
manage this critical data, so that appropriate security controls can be applied.

External attackers are continuously scanning the internet address space of target
enterprises, premise-based or in the cloud, identifying possibly unprotected assets
attached to an enterprise’s network. Attackers can take advantage of new assets that
are installed, yet not securely configured and patched. Internally, unidentified assets
can also have weak security configurations that can make them vulnerable to web- or
email-based malware; and, adversaries can leverage weak security configurations for
traversing the network, once they are inside.

Additional assets that connect to the enterprise’s network (e.g., demonstration systems,
temporary test systems, guest networks) should be identified and/or isolated in order to
prevent adversarial access from affecting the security of enterprise operations.

Large, complex, dynamic enterprises understandably struggle with the challenge of

managing intricate, fast-changing environments. However, attackers have shown the
ability, patience, and willingness to “inventory and control” our enterprise assets at very
large scale in order to support their opportunities.

Another challenge is that portable end-user devices will periodically join a network
and then disappear, making the inventory of currently available assets very dynamic.
Likewise, cloud environments and virtual machines can be difficult to track in asset
inventories when they are shut down or paused.

CIS Controls v8 Control 01: Inventory and Control of Enterprise Assets 8

 Another benefit of complete enterprise asset management is supporting incident
response, both when investigating the origination of network traffic from an asset on
the network and when identifying all potentially vulnerable, or impacted, assets of
similar type or location during an incident.

Procedures and tools

This CIS Control requires both technical and procedural actions, united in a process
that accounts for, and manages the inventory of, enterprise assets and all associated
data throughout its life cycle. It also links to business governance through establishing
data/asset owners who are responsible for each component of a business process.
Enterprises can use large-scale, comprehensive enterprise products to maintain IT
asset inventories. Smaller enterprises can leverage security tools already installed on
enterprise assets or used on the network to collect this data. This includes doing a
discovery scan of the network with a vulnerability scanner; reviewing anti-malware
logs, logs from endpoint security portals, network logs from switches, or authentication
logs; and managing the results in a spreadsheet or database.

Maintaining a current and accurate view of enterprise assets is an ongoing and

dynamic process. Even for enterprises, there is rarely a single source of truth, as
enterprise assets are not always provisioned or installed by the IT department. The
reality is that a variety of sources need to be “crowd-sourced” to determine a high-
confidence count of enterprise assets. Enterprises can actively scan on a regular
basis, sending a variety of different packet types to identify assets connected to the
network. In addition to asset sources mentioned above for small enterprises, larger
enterprises can collect data from cloud portals and logs from enterprise platforms such
as: Active Directory (AD), Single Sign-On (SSO), Multi-Factor Authentication (MFA),
Virtual Private Network (VPN), Intrusion Detection Systems (IDS) or Deep Packet
Inspection (DPI), Mobile Device Management (MDM), and vulnerability scanning
tools. Property inventory databases, purchase order tracking, and local inventory
lists are other sources of data to determine which devices are connected. There are
tools and methods that normalize this data to identify devices that are unique among
these sources.

→ For cloud-specific guidance, refer to the CIS Controls Cloud Companion

Guide – https://www.cisecurity.org/controls/v8/

→ For tablet and smart phone guidance, refer to the CIS Controls Mobile
Companion Guide – https://www.cisecurity.org/controls/v8/

→ For IoT guidance, refer to the CIS Controls Internet of Things Companion
Guide – https://www.cisecurity.org/controls/v8/

→ For Industrial Control Systems (ICS) guidance, refer to the CIS Controls ICS
Implementation Guide – https://www.cisecurity.org/controls/v8/

CIS Controls v8 Control 01: Inventory and Control of Enterprise Assets 9

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

1.1 Establish and Maintain Detailed Enterprise Asset Inventory Devices -Identify- • • •
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 assets connected 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.

1.2 Address Unauthorized Assets Devices -Respond- • • •

Ensure that a process exists to address unauthorized assets on a weekly basis. The enterprise may choose to remove
the asset from the network, deny the asset from connecting remotely to the network, or quarantine the asset.

1.3 Utilize an Active Discovery Tool Devices -Detect- • •

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.

1.4 Use Dynamic Host Configuration Protocol (DHCP) Logging to

Update Enterprise Asset Inventory
Devices -Identify- • •
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.

1.5 Use a Passive Asset Discovery Tool Devices -Detect- •

Use a passive discovery tool to identify assets connected to the enterprise’s network. Review and use scans to
update the enterprise’s asset inventory at least weekly, or more frequently.

CIS Controls v8 Control 01: Inventory and Control of Enterprise Assets 10

 02 Inventory and Control
CONTROL

of Software Assets
SAFEGUARDS TOTAL• 7 IG1• 3/7 IG2• 6/7 IG3• 7/7

Overview Actively manage (inventory, track, and correct) all software

(operating systems and applications) on the network so that
only authorized software is installed and can execute, and that
unauthorized and unmanaged software is found and prevented
from installation or execution.

Why is this Control critical?

A complete software inventory is a critical foundation for preventing attacks. Attackers
continuously scan target enterprises looking for vulnerable versions of software
that can be remotely exploited. For example, if a user opens a malicious website or
attachment with a vulnerable browser, an attacker can often install backdoor programs
and bots that give the attacker long-term control of the system. Attackers can also
use this access to move laterally through the network. One of the key defenses
against these attacks is updating and patching software. However, without a complete
inventory of software assets, an enterprise cannot determine if they have vulnerable
software, or if there are potential licensing violations.

Even if a patch is not yet available, a complete software inventory list allows
an enterprise to guard against known attacks until the patch is released. Some
sophisticated attackers use “zero-day exploits,” which take advantage of previously
unknown vulnerabilities that have yet to have a patch released from the software
vendor. Depending on the severity of the exploit, an enterprise can implement
temporary mitigation measures to guard against attacks until the patch is released.

Management of software assets is also important to identify unnecessary security risks.

An enterprise should review its software inventory to identify any enterprise assets
running software that is not needed for business purposes. For example, an enterprise
asset may come installed with default software that creates a potential security risk and
provides no benefit to the enterprise. It is critical to inventory, understand, assess, and
manage all software connected to an enterprise’s infrastructure.

CIS Controls v8 Control 02: Inventory and Control of Software Assets 11

Procedures and tools
Allowlisting can be implemented using a combination of commercial allowlisting
tools, policies, or application execution tools that come with anti-malware suites and
popular operating systems. Commercial software inventory tools are widely available
and used in many enterprises today. The best of these tools provides an inventory
check of hundreds of common software used in enterprises. The tools pull information
about the patch level of each installed program to ensure that it is the latest version
and leverage standardized application names, such as those found in the Common
Platform Enumeration (CPE) specification. One example of a method that can be used
is the Security Content Automation Protocol (SCAP). Additional information on SCAP
can be found here: https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.
SP.800-126r3.pdf

Features that implement allowlists are included in many modern endpoint security
suites and even natively implemented in certain versions of major operating systems.
Moreover, commercial solutions are increasingly bundling together anti-malware, anti-
spyware, personal firewall, and host-based IDS and Intrusion Prevention System (IPS),
along with application allow and block listing. In particular, most endpoint security
solutions can look at the name, file system location, and/or cryptographic hash of a
given executable to determine whether the application should be allowed to run on
the protected machine. The most effective of these tools offer custom allowlists based
on executable path, hash, or regular expression matching. Some even include a non-
malicious, yet unapproved, applications function that allows administrators to define
rules for execution of specific software for certain users and at certain times of the day.

→ For cloud-specific guidance, refer to the CIS Controls Cloud Companion

Guide – https://www.cisecurity.org/controls/v8/

→ For tablet and smart phone guidance, refer to the CIS Controls Mobile
Companion Guide – https://www.cisecurity.org/controls/v8/

→ For IoT guidance, refer to the CIS Controls Internet of Things Companion
Guide – https://www.cisecurity.org/controls/v8/

→ For Industrial Control Systems (ICS) guidance, refer to the CIS Controls ICS
Implementation Guide – https://www.cisecurity.org/controls/v8/

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

2.1 Establish and Maintain a Software Inventory Applications -Identify- • • •

Establish and maintain a detailed inventory of all licensed software installed on enterprise assets. The software
inventory must document the title, publisher, initial install/use date, and business purpose for each entry; where
appropriate, include the Uniform Resource Locator (URL), app store(s), version(s), deployment mechanism, and
decommission date. Review and update the software inventory bi-annually, or more frequently.

2.2 Ensure Authorized Software is Currently Supported Applications -Identify- • • •

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.

CIS Controls v8 Control 02: Inventory and Control of Software Assets 12

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

2.3 Address Unauthorized Software Applications -Respond- • • •

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

2.4 Utilize Automated Software Inventory Tools Applications -Detect- • •

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

2.5 Allowlist Authorized Software Applications -Protect- • •

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

2.6 Allowlist Authorized Libraries Applications -Protect- • •

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.

2.7 Allowlist Authorized Scripts Applications -Protect- •

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.

CIS Controls v8 Control 02: Inventory and Control of Software Assets 13

 03 Data
CONTROL

Protection
SAFEGUARDS TOTAL• 14 IG1• 6/14 IG2• 12/14 IG3• 14/14

Overview Develop processes and technical controls to identify, classify,

securely handle, retain, and dispose of data.

Why is this Control critical?

Data is no longer only contained within an enterprise’s border; it is in the cloud, on
portable end-user devices where users work from home, and is often shared with
partners or online services that might have it anywhere in the world. In addition
to sensitive data an enterprise holds related to finances, intellectual property, and
customer data, there also might be numerous international regulations for protection
of personal data. Data privacy has become increasingly important, and enterprises are
learning that privacy is about the appropriate use and management of data, not just
encryption. Data must be appropriately managed through its entire life cycle. These
privacy rules can be complicated for multi-national enterprises of any size; however,
there are fundamentals that can apply to all.

Once attackers have penetrated an enterprise’s infrastructure, one of their first tasks is
to find and exfiltrate data. Enterprises might not be aware that sensitive data is leaving
their environment because they are not monitoring data outflows.

While many attacks occur on the network, others involve physical theft of portable
end-user devices, attacks on service providers or other partners holding sensitive data.
Other sensitive enterprise assets may also include non-computing devices that provide
management and control of physical systems, such as Supervisory Control and Data
Acquisition (SCADA) systems.

The enterprise’s loss of control over protected or sensitive data is a serious and often
reportable business impact. While some data is compromised or lost as a result of theft
or espionage, the vast majority are a result of poorly understood data management
rules, and user error. The adoption of data encryption, both in transit and at rest,
can provide mitigation against data compromise, and, even more important, it is a
regulatory requirement for most controlled data.

CIS Controls v8 Control 03: Data Protection 14

Procedures and tools
It is important for an enterprise to develop a data management process that includes
a data management framework, data classification guidelines, and requirements
for protection, handling, retention, and disposal of data. There should also be a data
breach process that plugs into the incident response plan, and the compliance and
communication plans. To derive data sensitivity levels, enterprises need to catalog
their key types of data and the overall criticality (impact to its loss or corruption) to the
enterprise. This analysis would be used to create 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.

Once the sensitivity of the data has been defined, a data inventory or mapping
should be developed that identifies software accessing data at various sensitivity
levels and the enterprise assets that house those applications. Ideally, the network
would be separated so that enterprise assets of the same sensitivity level are on the
same network and separated from enterprise assets with different sensitivity levels. If
possible, firewalls need to control access to each segment, and have user access rules
applied to only allow those with a business need to access the data.

For more comprehensive treatment of this topic, we suggest the following resources to
help the enterprise with data protection:

→ NIST® SP 800-88r1 Guides for Media Sanitization – https://nvlpubs.nist.gov/

nistpubs/SpecialPublications/NIST.SP.800-88r1.pdf

→ NIST® FIPS 140-2 – https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.140-2.pdf

→ NIST® FIPS 140-3 – https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.140-3.pdf

→ For cloud-specific guidance, refer to the CIS Controls Cloud Companion

Guide – https://www.cisecurity.org/controls/v8/

→ For tablet and smart phone guidance, refer to the CIS Controls Mobile
Companion Guide – https://www.cisecurity.org/controls/v8/

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

3.1 Establish and Maintain a Data Management Process Data -Identify- • • •

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.

3.2 Establish and Maintain a Data Inventory Data -Identify- • • •

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.

3.3 Configure Data Access Control Lists Data -Protect- • • •

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.

CIS Controls v8 Control 03: Data Protection 15

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

3.4 Enforce Data Retention Data -Protect- • • •

Retain data according to the enterprise’s data management process. Data retention must include both minimum and
maximum timelines.

3.5 Securely Dispose of Data Data -Protect- • • •

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.

3.6 Encrypt Data on End-User Devices Devices -Protect- • • •

Encrypt data on end-user devices containing sensitive data. Example implementations can include: Windows
BitLocker®, Apple FileVault®, Linux® dm-crypt.

3.7 Establish and Maintain a Data Classification Scheme Data -Identify- • •

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.

3.8 Document Data Flows Data -Identify- • •

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.

3.9 Encrypt Data on Removable Media Data -Protect- • •

Encrypt data on removable media.

3.10 Encrypt Sensitive Data in Transit Data -Protect- • •

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

3.11 Encrypt Sensitive Data at Rest Data -Protect- • •

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.

3.12 Segment Data Processing and Storage Based on Sensitivity Network -Protect- • •
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.

3.13 Deploy a Data Loss Prevention Solution Data -Protect- •

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.

3.14 Log Sensitive Data Access Data -Detect- •

Log sensitive data access, including modification and disposal.

CIS Controls v8 Control 03: Data Protection 16

 04 Secure Configuration
CONTROL

of Enterprise Assets
and Software
SAFEGUARDS TOTAL• 12 IG1• 7/12 IG2• 11/12 IG3• 12/12

Overview Establish and maintain the secure configuration of enterprise

assets (end-user devices, including portable and mobile; network
devices; non-computing/IoT devices; and servers) and software
(operating systems and applications).

Why is this Control critical?

As delivered from manufacturers and resellers, the default configurations for enterprise
assets and software are normally geared towards ease-of-deployment and ease-of-
use rather than security. Basic controls, open services and ports, default accounts or
passwords, pre-configured Domain Name System (DNS) settings, older (vulnerable)
protocols, and pre-installation of unnecessary software can all be exploitable if left in
their default state. Further, these security configuration updates need to be managed
and maintained over the life cycle of enterprise assets and software. Configuration
updates need to be tracked and approved through configuration management workflow
process to maintain a record that can be reviewed for compliance, leveraged for
incident response, and to support audits. This CIS Control is important to on-premises
devices, as well as remote devices, network devices, and cloud environments.

Service providers play a key role in modern infrastructures, especially for smaller
enterprises. They often are not set up by default in the most secure configuration to
provide flexibility for their customers to apply their own security policies. Therefore,
the presence of default accounts or passwords, excessive access, or unnecessary
services are common in default configurations. These could introduce weaknesses that
are under the responsibility of the enterprise that is using the software, rather than the
service provider. This extends to ongoing management and updates, as some Platform
as a Service (PaaS) only extend to the operating system, so patching and updating
hosted applications are under the responsibility of the enterprise.

Even after a strong initial configuration is developed and applied, it must be continually
managed to avoid degrading security as software is updated or patched, new security
vulnerabilities are reported, and configurations are “tweaked,” to allow the installation of
new software or to support new operational requirements.

CIS Controls v8 Control 04: Secure Configuration of Enterprise Assets and Software 17
Procedures and tools
There are many available security baselines for each system. Enterprises should start
with these publicly developed, vetted, and supported security benchmarks, security
guides, or checklists. Some resources include:

→ The CIS Benchmarks™ Program – http://www.cisecurity.org/cis-benchmarks/

→ The National Institute of Standards and Technology (NIST®) National Checklist

Program Repository – https://nvd.nist.gov/ncp/repository

Enterprises should augment or adjust these baselines to satisfy enterprise security

policies, and industry and government regulatory requirements. Deviations of standard
configurations and rationale should be documented to facilitate future reviews or audits.

For a larger or more complex enterprise, there will be multiple security baseline
configurations based on security requirements or classification of the data on the
enterprise asset. Here is an example of the steps to build a secure baseline image:

01 Determine the risk classification of the data handled/stored on the enterprise asset
(e.g., high, moderate, low risk).
02 Create a security configuration script that sets system security settings to meet the
requirements to protect the data used on the enterprise asset. Use benchmarks,
such as the ones described earlier in this section.
03 Install the base operating system software.
04 Apply appropriate operating system and security patches.
05 Install appropriate application software packages, tool, and utilities.
06 Apply appropriate updates to software installed in Step 4.
07 Install local customization scripts to this image.
08 Run the security script created in Step 2 to set the appropriate security level.
09 Run a SCAP compliant tool to record/score the system setting of the baseline
image.
10 Perform a security quality assurance test.
11 Save this base image in a secure location.

Commercial and/or free configuration management tools, such as the CIS Configuration
Assessment Tool (CIS-CAT®) https://learn.cisecurity.org/cis-cat-lite, can be
deployed to measure the settings of operating systems and applications of managed
machines to look for deviations from the standard image configurations. Commercial
configuration management tools use some combination of an agent installed on each
managed system, or agentless inspection of systems through remotely logging into
each enterprise asset using administrator credentials. Additionally, a hybrid approach is
sometimes used whereby a remote session is initiated, a temporary or dynamic agent is
deployed on the target system for the scan, and then the agent is removed.

CIS Controls v8 Control 04: Secure Configuration of Enterprise Assets and Software 18
Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

4.1 Establish and Maintain a Secure Configuration Process Applications -Protect- • • •

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.

4.2 Establish and Maintain a Secure Configuration Process for

Network Infrastructure
Network -Protect- • • •
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.

4.3 Configure Automatic Session Locking on Enterprise Assets Users -Protect- • • •

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.

4.4 Implement and Manage a Firewall on Servers Devices -Protect- • • •

Implement and manage a firewall on servers, where supported. Example implementations include a virtual firewall,
operating system firewall, or a third-party firewall agent.

4.5 Implement and Manage a Firewall on End-User Devices Devices -Protect- • • •

Implement and manage a host-based firewall or port-filtering tool on end-user devices, with a default-deny rule that
drops all traffic except those services and ports that are explicitly allowed.

4.6 Securely Manage Enterprise Assets and Software Network -Protect- • • •

Securely manage enterprise assets and software. Example implementations include managing configuration through
version-controlled-infrastructure-as-code and accessing administrative interfaces over secure network protocols,
such as Secure Shell (SSH) and Hypertext Transfer Protocol Secure (HTTPS). Do not use insecure management
protocols, such as Telnet (Teletype Network) and HTTP, unless operationally essential.

4.7 Manage Default Accounts on Enterprise Assets and Software Users -Protect- • • •
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.

4.8 Uninstall or Disable Unnecessary Services on Enterprise Assets

and Software
Devices -Protect-   • •
Uninstall or disable unnecessary services on enterprise assets and software, such as an unused file sharing service,
web application module, or service function.

4.9 Configure Trusted DNS Servers on Enterprise Assets Devices -Protect- • •

Configure trusted DNS servers on enterprise assets. Example implementations include: configuring assets to use
enterprise-controlled DNS servers and/or reputable externally accessible DNS servers. 

4.10 Enforce Automatic Device Lockout on Portable End-User Devices Devices -Respond-   • •
Enforce automatic device lockout following a predetermined threshold of local failed authentication attempts on
portable end-user devices, where supported. For laptops, do not allow more than 20 failed authentication attempts;
for tablets and smartphones, no more than 10 failed authentication attempts. Example implementations include
Microsoft® InTune Device Lock and Apple® Configuration Profile maxFailedAttempts.

4.11 Enforce Remote Wipe Capability on Portable End-User Devices Devices -Protect- • •
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.

4.12 Separate Enterprise Workspaces on Mobile End-User Devices Devices -Protect-     •

Ensure separate enterprise workspaces are used on mobile end-user devices, where supported. Example
implementations include using an Apple® Configuration Profile or Android™ Work Profile to separate enterprise
applications and data from personal applications and data.

CIS Controls v8 Control 04: Secure Configuration of Enterprise Assets and Software 19
 05 Account
CONTROL

Management
SAFEGUARDS TOTAL• 6 IG1• 4/6 IG2• 6/6 IG3• 6/6

Overview 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.

Why is this Control critical?

It is easier for an external or internal threat actor to gain unauthorized access to
enterprise assets or data through using valid user credentials than through “hacking”
the environment. There are many ways to covertly obtain access to user accounts,
including: weak passwords, accounts still valid after a user leaves the enterprise,
dormant or lingering test accounts, shared accounts that have not been changed in
months or years, service accounts embedded in applications for scripts, a user having
the same password as one they use for an online account that has been compromised
(in a public password dump), social engineering a user to give their password, or using
malware to capture passwords or tokens in memory or over the network.

Administrative, or highly privileged, accounts are a particular target, because they allow
attackers to add other accounts, or make changes to assets that could make them
more vulnerable to other attacks. Service accounts are also sensitive, as they are often
shared among teams, internal and external to the enterprise, and sometimes not known
about, only to be revealed in standard account management audits.

Finally, account logging and monitoring is a critical component of security operations.

While account logging and monitoring are covered in CIS Control 8 (Audit Log
Management), it is important in the development of a comprehensive Identity and
Access Management (IAM) program.

CIS Controls v8 Control 05: Account Management 20

Procedures and tools
Credentials are assets that must be inventoried and tracked like enterprise assets and
software, as they are the primary entry point into the enterprise. Appropriate password
policies and guidance not to reuse passwords should be developed.

→ For guidance on the creation and use of passwords, reference the CIS
Password Policy Guide – https://www.cisecurity.org/white-papers/cis-
password-policy-guide/

Accounts must also be tracked; any account that is dormant must be disabled and
eventually removed from the system. There should be periodic audits to ensure all
active accounts are traced back to authorized users of the enterprise asset. Look
for new accounts added since previous review, especially administrator and service
accounts. Close attention should be made to identify and track administrative, or high-
privileged accounts and service accounts.

Users with administrator or other privileged access should have separate accounts for
those higher authority tasks. These accounts would only be used when performing
those tasks or accessing especially sensitive data, to reduce risk in case their normal
user account is compromised. For users with multiple accounts, their base user
account, used day-to-day for non-administrative tasks, should not have any elevated
privileges.

Single Sign-On (SSO) is convenient and secure when an enterprise has many
applications, including cloud applications, which helps reduce the number of
passwords a user must manage. Users are recommended to use password manager
applications to securely store their passwords, and should be instructed not to keep
them in spreadsheets or text files on their computers. MFA is recommended for
remote access.

Users must also be automatically logged out of the system after a period of inactivity,
and be trained to lock their screen when they leave their device to minimize the
possibility of someone else in physical proximity around the user accessing their
system, applications, or data.

→ An excellent resource is the NIST® Digital Identity Guidelines – https://pages.

nist.gov/800-63-3/

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

5.1 Establish and Maintain an Inventory of Accounts Users -Identify- • • •

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.

5.2 Use Unique Passwords Users -Protect- • • •

Use unique passwords for all enterprise assets. Best practice implementation includes, at a minimum, an 8-character
password for accounts using MFA and a 14-character password for accounts not using MFA.

CIS Controls v8 Control 05: Account Management 21

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

5.3 Disable Dormant Accounts Users -Respond- • • •

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

5.4 Restrict Administrator Privileges to Dedicated

Administrator Accounts
Users -Protect- • • •
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.

5.5 Establish and Maintain an Inventory of Service Accounts Users -Identify- • •

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.

5.6 Centralize Account Management Users -Protect- • •

Centralize account management through a directory or identity service.

CIS Controls v8 Control 05: Account Management 22

 06 Access Control
CONTROL

Management
SAFEGUARDS TOTAL• 8 IG1• 5/8 IG2• 7/8 IG3• 8/8

Overview 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.

Why is this Control critical?

Where CIS Control 5 deals specifically with account management, CIS Control 6
focuses on managing what access these accounts have, ensuring users only have
access to the data or enterprise assets appropriate for their role, and ensuring that
there is strong authentication for critical or sensitive enterprise data or functions.
Accounts should only have the minimal authorization needed for the role. Developing
consistent access rights for each role and assigning roles to users is a best practice.
Developing a program for complete provision and de-provisioning access is also
important. Centralizing this function is ideal.

There are some user activities that pose greater risk to an enterprise, either because
they are accessed from untrusted networks, or performing administrator functions
that allow the ability to add, change, or remove other accounts, or make configuration
changes to operating systems or applications to make them less secure. This also
enforces the importance of using MFA and Privileged Access Management (PAM) tools.

Some users have access to enterprise assets or data they do not need for their role; this
might be due to an immature process that gives all users all access, or lingering access
as users change roles within the enterprise over time. Local administrator privileges to
users’ laptops is also an issue, as any malicious code installed or downloaded by the
user can have greater impact on the enterprise asset running as administrator. User,
administrator, and service account access should be based on enterprise role and need.

CIS Controls v8 Control 06: Access Control Management 23

Procedures and tools
There should be a process where privileges are granted and revoked for user accounts.
This ideally is based on enterprise role and need through role-based access. Role-
based access is a technique to define and manage access requirements for each
account based on: need to know, least privilege, privacy requirements, and/or
separation of duties. There are technology tools to help manage this process. However,
there might be more granular or temporary access based on circumstance.

MFA should be universal for all privileged or administrator accounts. There are many
tools that have smartphone applications to perform this function, and are easy to
deploy. Using the number-generator feature is more secure than just sending a
Short Messaging Service (SMS) message with a one-time code, or prompting a
“push” alert for a user to accept. However, neither is recommended for privileged
account MFA. PAM tools are available for privileged account control, and provide a
one-time password that must be checked out for each use. For additional security
in system administration, using “jump-boxes” or out of band terminal connections is
recommended.

Comprehensive account de-provisioning is important. Many enterprises have

repeatable consistent processes for removing access when employees leave the
enterprise. However, that process is not always consistent for contractors, and must be
included in the standard de-provisioning process. Enterprises should also inventory and
track service accounts, as a common error is leaving clear text tokens or passwords in
code, and posting to public cloud-based code repositories.

High-privileged accounts should not be used for day-to-day use, such as web surfing
and email reading. Administrators should have separate accounts that do not have
elevated privileges for daily office use, and should log into administrator accounts only
when performing administrator functions requiring that level of authorization. Security
personnel should periodically gather a list of running processes to determine whether
any browsers or email readers are running with high privileges.

→ An excellent resource is the NIST® Digital Identity Guidelines – https://pages.

nist.gov/800-63-3/

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

6.1 Establish an Access Granting Process Users -Protect- • • •

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

6.2 Establish an Access Revoking Process Users -Protect- • • •

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.

6.3 Require MFA for Externally-Exposed Applications Users -Protect- • • •

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.

CIS Controls v8 Control 06: Access Control Management 24

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

6.4 Require MFA for Remote Network Access Users -Protect- • • •

Require MFA for remote network access.

6.5 Require MFA for Administrative Access Users -Protect- • • •

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

6.6 Establish and Maintain an Inventory of Authentication and

Authorization Systems
Users -Identify- • •
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.

6.7 Centralize Access Control Users -Protect- • •

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

6.8 Define and Maintain Role-Based Access Control Data -Protect- •

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.

CIS Controls v8 Control 06: Access Control Management 25

 07 Continuous Vulnerability
CONTROL

Management
SAFEGUARDS TOTAL• 7 IG1• 4/7 IG2• 7/7 IG3• 7/7

Overview 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.

Why is this Control critical?

Cyber defenders are constantly being challenged from attackers who are looking for
vulnerabilities within their infrastructure to exploit and gain access. Defenders must
have timely threat information available to them about: software updates, patches,
security advisories, threat bulletins, etc., and they should regularly review their
environment to identify these vulnerabilities before the attackers do. Understanding
and managing vulnerabilities is a continuous activity, requiring focus of time, attention,
and resources.

Attackers have access to the same information and can often take advantage of
vulnerabilities more quickly than an enterprise can remediate. While there is a gap in
time from a vulnerability being known to when it is patched, defenders can prioritize
which vulnerabilities are most impactful to the enterprise, or likely to be exploited
first due to ease of use. For example, when researchers or the community report new
vulnerabilities, vendors have to develop and deploy patches, indicators of compromise
(IOCs), and updates. Defenders need to assess the risk of the new vulnerability to the
enterprise, regression-test patches, and install the patch.

There is never perfection in this process. Attackers might be using an exploit to

a vulnerability that is not known within the security community. They might have
developed an exploit to this vulnerability referred to as a “zero-day” exploit. Once
the vulnerability is known in the community, the process mentioned above starts.
Therefore, defenders must keep in mind that an exploit might already exist when the
vulnerability is widely socialized. Sometimes vulnerabilities might be known within
a closed community (e.g., vendor still developing a fix) for weeks, months, or years
before it is disclosed publicly. Defenders have to be aware that there might always
be vulnerabilities they cannot remediate, and therefore need to use other controls
to mitigate.

CIS Controls v8 Control 07: Continuous Vulnerability Management 26

 Enterprises that do not assess their infrastructure for vulnerabilities and proactively
address discovered flaws face a significant likelihood of having their enterprise assets
compromised. Defenders face particular challenges in scaling remediation across an
entire enterprise, and prioritizing actions with conflicting priorities, while not impacting
the enterprise’s business or mission.

Procedures and tools

A large number of vulnerability scanning tools are available to evaluate the security
configuration of enterprise assets. Some enterprises have also found commercial
services using remotely managed scanning appliances to be effective. To help
standardize the definitions of discovered vulnerabilities across an enterprise, it is
preferable to use vulnerability scanning tools that map vulnerabilities to one or more of
the following industry-recognized vulnerability, configuration and platform classification
schemes and languages: Common Vulnerabilities and Exposures (CVE®), Common
Configuration Enumeration (CCE), Open Vulnerability and Assessment Language
(OVAL®), Common Platform Enumeration (CPE), Common Vulnerability Scoring System
(CVSS), and/or Extensible Configuration Checklist Description Format (XCCDF). These
schemes and languages are components of SCAP.

→ More information on SCAP can be found here – https://nvlpubs.nist.gov/

nistpubs/SpecialPublications/NIST.SP.800-126r3.pdf

The frequency of scanning activities should increase as the diversity of an enterprise’s

assets increases to account for the varying patch cycles of each vendor. Advanced
vulnerability scanning tools can be configured with user credentials to authenticate
into enterprise assets and perform more comprehensive assessments. These are called
“authenticated scans.”

In addition to the scanning tools that check for vulnerabilities and misconfigurations
across the network, various free and commercial tools can evaluate security settings
and configurations of enterprise assets. Such tools can provide fine-grained insight
into unauthorized changes in configuration or the inadvertent introduction of security
weaknesses from administrators.

Effective enterprises link their vulnerability scanners with problem-ticketing systems

that track and report progress on fixing vulnerabilities. This can help highlight
unmitigated critical vulnerabilities to senior management to ensure they are resolved.
Enterprises can also track how long it took to remediate a vulnerability, after identified,
or a patch has been issued. These can support internal or industry compliance
requirements. Some mature enterprises will go over these reports in IT security steering
committee meetings, which bring leaders from IT and the business together to prioritize
remediation efforts based on business impact.

In selecting which vulnerabilities to fix, or patches to apply, an enterprise should

augment NIST’s Common Vulnerability Scoring System (CVSS) with data concerning
the likelihood of a threat actor using a vulnerability, or potential impact of an exploit to
the enterprise. Information on the likelihood of exploitation should also be periodically
updated based on the most current threat information. For example, the release of
a new exploit, or new intelligence relating to exploitation of the vulnerability, should
change the priority through which the vulnerability should be considered for patching.
Various commercial systems are available to allow an enterprise to automate and
maintain this process in a scalable manner.

CIS Controls v8 Control 07: Continuous Vulnerability Management 27

 The most effective vulnerability scanning tools compare the results of the current scan
with previous scans to determine how the vulnerabilities in the environment have
changed over time. Security personnel use these features to conduct vulnerability
trending from month to month.

Finally, there should be a quality assurance process to verify configuration updates, or

that patches are implemented correctly and across all relevant enterprise assets.

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

7.1 Establish and Maintain a Vulnerability Management Process Applications -Protect- • • •

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.

7.2 Establish and Maintain a Remediation Process Applications -Respond- •  • •

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

7.3 Perform Automated Operating System Patch Management Applications -Protect- • • •

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

7.4 Perform Automated Application Patch Management Applications -Protect- • • •

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

7.5 Perform Automated Vulnerability Scans of Internal

Enterprise Assets
Applications -Identify- • •
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.

7.6 Perform Automated Vulnerability Scans of Externally-Exposed

Enterprise Assets
Applications -Identify- • •
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.

7.7 Remediate Detected Vulnerabilities Applications -Respond- • •

Remediate detected vulnerabilities in software through processes and tooling on a monthly, or more frequent, basis,
based on the remediation process.

CIS Controls v8 Control 07: Continuous Vulnerability Management 28

 08 Audit Log
CONTROL

Management
SAFEGUARDS TOTAL• 12 IG1• 3/12 IG2• 11/12 IG3• 12/12

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

Why is this Control critical?

Log collection and analysis is critical for an enterprise’s ability to detect malicious
activity quickly. Sometimes audit records are the only evidence of a successful attack.
Attackers know that many enterprises keep audit logs for compliance purposes, but
rarely analyze them. Attackers use this knowledge to hide their location, malicious
software, and activities on victim machines. Due to poor or nonexistent log analysis
processes, attackers sometimes control victim machines for months or years without
anyone in the target enterprise knowing.

There are two types of logs that are generally treated and often configured independently:
system logs and audit logs. System logs typically provide system-level events that show
various system process start/end times, crashes, etc. These are native to systems, and
take less configuration to turn on. Audit logs typically include user-level events—when a
user logged in, accessed a file, etc.—and take more planning and effort to set up.

Logging records are also critical for incident response. After an attack has been
detected, log analysis can help enterprises understand the extent of an attack.
Complete logging records can show, for example, when and how the attack occurred,
what information was accessed, and if data was exfiltrated. Retention of logs is also
critical in case a follow-up investigation is required or if an attack remained undetected
for a long period of time.

Procedures and tools

Most enterprise assets and software offer logging capabilities. Such logging should be
activated, with logs sent to centralized logging servers. Firewalls, proxies, and remote
access systems (Virtual Private Network (VPN), dial-up, etc.) should all be configured
for verbose logging where beneficial. Retention of logging data is also important in the
event an incident investigation is required.

CIS Controls v8 Control 08: Audit Log Management 29

 Furthermore, all enterprise assets should be configured to create access control
logs when a user attempts to access resources without the appropriate privileges.
To evaluate whether such logging is in place, an enterprise should periodically scan
through its logs and compare them with the enterprise asset inventory assembled as
part of CIS Control 1, in order to ensure that each managed asset actively connected to
the network is periodically generating logs.

Safeguards
NUMBER TITLE/ DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

8.1 Establish and Maintain an Audit Log Management Process Network -Protect- • • •
Establish and maintain an audit log management process that defines the enterprise’s logging requirements. At
a minimum, address the collection, review, and retention of audit logs for enterprise assets. Review and update
documentation annually, or when significant enterprise changes occur that could impact this Safeguard.

8.2 Collect Audit Logs Network -Detect- • • •

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

8.3 Ensure Adequate Audit Log Storage Network -Protect- • • •

Ensure that logging destinations maintain adequate storage to comply with the enterprise’s audit log
management process.

8.4 Standardize Time Synchronization Network -Protect- • •

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

8.5 Collect Detailed Audit Logs Network -Detect- • •

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.

8.6 Collect DNS Query Audit Logs Network -Detect- • •

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

8.7 Collect URL Request Audit Logs Network -Detect- • •

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

8.8 Collect Command-Line Audit Logs Devices -Detect- • •

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

8.9 Centralize Audit Logs Network -Detect- • •

Centralize, to the extent possible, audit log collection and retention across enterprise assets.

8.10 Retain Audit Logs Network -Protect- • •

Retain audit logs across enterprise assets for a minimum of 90 days.

8.11 Conduct Audit Log Reviews Network -Detect- • •

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.

8.12 Collect Service Provider Logs Data -Detect- •

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

CIS Controls v8 Control 08: Audit Log Management 30

 09 Email and Web Browser
CONTROL

Protections
SAFEGUARDS TOTAL• 7 IG1• 2/7 IG2• 6/7 IG3• 7/7

Overview Improve protections and detections of threats from email

and web vectors, as these are opportunities for attackers to
manipulate human behavior through direct engagement.

Why is this Control critical?

Web browsers and email clients are very common points of entry for attackers
because of their direct interaction with users inside an enterprise. Content can be
crafted to entice or spoof users into disclosing credentials, providing sensitive data, or
providing an open channel to allow attackers to gain access, thus increasing risk to the
enterprise. Since email and web are the main means that users interact with external
and untrusted users and environments, these are prime targets for both malicious code
and social engineering. Additionally, as enterprises move to web-based email, or mobile
email access, users no longer use traditional full-featured email clients, which provide
embedded security controls like connection encryption, strong authentication, and
phishing reporting buttons.

Procedures and tools

Web Browser

Cybercriminals can exploit web browsers in multiple ways. If they have access to
exploits of vulnerable browsers, they can craft malicious webpages that can exploit
those vulnerabilities when browsed with an insecure, or unpatched, browser.
Alternatively, they can try to target any number of common web browser third-
party plugins that may allow them to hook into the browser or even directly into
the operating system or application. These plugins, much like any other software
within an environment, need to be reviewed for vulnerabilities, kept up-to-date with
latest patches or versions, and controlled. Many come from untrusted sources, and
some are even written to be malicious. Therefore, it is best to prevent users from
intentionally or unintentionally installing malware that might be hiding in some of
these plugins, extensions, and add-ons. Simple configuration updates to the browser
can make it much harder for malware to get installed through reducing the ability of
installing add-ons/plugins/extensions and preventing specific types of content from
automatically executing.

CIS Controls v8 Control 09: Email and Web Browser Protections 31

 Most popular browsers employ a database of phishing and/or malware sites to
protect against the most common threats. A best practice is to enable these content
filters and turn on the pop-up blockers. Pop-ups are not only annoying; they can
also host embedded malware directly or lure users into clicking links using social
engineering tricks. To help enforce blocking of known malicious domains, also consider
subscribing to DNS filtering services to block attempts to access these websites at the
network level.

Email

Email represents one the most interactive ways humans work with enterprise assets;
training and encouraging the right behavior is just as important as the technical
settings. Email is the most common threat vector against enterprises through tactics
such as phishing and Business Email Compromise (BEC).

Using a spam-filtering tool and malware scanning at the email gateway reduces the
number of malicious emails and attachments that come into the enterprise’s network.
Initiating Domain-based Message Authentication, Reporting, and Conformance
(DMARC) helps reduce spam and phishing activities. Installing an encryption tool
to secure email and communications adds another layer of user and network-based
security. In addition to blocking based on the sender, it is also worthwhile to only allow
certain file types that users need for their jobs. This will require coordination with
different business units to understand what types of files they receive via email to
ensure that there is not an interruption to their processes.

Since phishing email techniques are ever evolving to get past Something Posing
as Mail (SPAM) filter rules, it is important to train users on how to identify phishing,
and to notify IT Security when they see one. There are many platforms that perform
phishing tests against users to help educate them on different examples, and track
their improvement over time. Crowd-sourcing this knowledge into notifying IT Security
teams of phishing helps improve the protections and detections of email-based threats.

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

9.1 Ensure Use of Only Fully Supported Browsers and Email Clients Applications -Protect- • • •
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.

9.2 Use DNS Filtering Services Network -Protect- • • •

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

9.3 Maintain and Enforce Network-Based URL Filters Network -Protect- • •

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.

9.4 Restrict Unnecessary or Unauthorized Browser and Email

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

CIS Controls v8 Control 09: Email and Web Browser Protections 32

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

9.5 Implement DMARC Network -Protect-   • •

To lower the chance of spoofed or modified emails from valid domains, implement DMARC policy and
verification, starting with implementing the Sender Policy Framework (SPF) and the DomainKeys Identified Mail
(DKIM) standards.

9.6 Block Unnecessary File Types Network -Protect-   • •

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

9.7 Deploy and Maintain Email Server Anti-Malware Protections Network -Protect-     •
Deploy and maintain email server anti-malware protections, such as attachment scanning and/or sandboxing.

CIS Controls v8 Control 09: Email and Web Browser Protections 33

 10 Malware
CONTROL

Defenses
SAFEGUARDS TOTAL• 7 IG1• 3/7 IG2• 7/7 IG3• 7/7

Overview Prevent or control the installation, spread, and execution of

malicious applications, code, or scripts on enterprise assets.

Why is this Control critical?

Malicious software (sometimes categorized as viruses or Trojans) is an integral and
dangerous aspect of internet threats. They can have many purposes, from capturing
credentials, stealing data, identifying other targets within the network, and encrypting
or destroying data. Malware is ever-evolving and adaptive, as modern variants leverage
machine learning techniques.

Malware enters an enterprise through vulnerabilities within the enterprise on end-user

devices, email attachments, webpages, cloud services, mobile devices, and removable
media. Malware often relies on insecure end-user behavior, such as clicking links,
opening attachments, installing software or profiles, or inserting Universal Serial Bus
(USB) flash drives. Modern malware is designed to avoid, deceive, or disable defenses.

Malware defenses must be able to operate in this dynamic environment through

automation, timely and rapid updating, and integration with other processes like
vulnerability management and incident response. They must be deployed at all possible
entry points and enterprise assets to detect, prevent spread, or control the execution of
malicious software or code.

Procedures and tools

Effective malware protection includes traditional endpoint malware prevention and
detection suites. To ensure malware IOCs are up-to-date, enterprises can receive
automated updates from the vendor to enrich other vulnerability or threat data. These
tools are best managed centrally to provide consistency across the infrastructure.

Being able to block or identify malware is only part of this CIS Control; there is also a
focus on centrally collecting the logs to support alerting, identification, and incident
response. As malicious actors continue to develop their methodologies, many are
starting to take a “living-off-the-land” (LotL) approach to minimize the likelihood of
being caught. This approach refers to attacker behavior that uses tools or features that
already exist in the target environment. Enabling logging, as per the Safeguards in
CIS Control 8, will make it significantly easier for the enterprise to follow the events to
understand what happened and why it happened.

CIS Controls v8 Control 10: Malware Defenses 34

Safeguards
NUMBER TITLE/ DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

10.1 Deploy and Maintain Anti-Malware Software Devices -Protect- • • •

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

10.2 Configure Automatic Anti-Malware Signature Updates Devices -Protect- • • •

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

10.3 Disable Autorun and Autoplay for Removable Media Devices -Protect- • • •
Disable autorun and autoplay auto-execute functionality for removable media.

10.4 Configure Automatic Anti-Malware Scanning of

Removable Media
Devices -Detect- • •
Configure anti-malware software to automatically scan removable media.

10.5 Enable Anti-Exploitation Features Devices -Protect- • •

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™.

10.6 Centrally Manage Anti-Malware Software Devices -Protect-   • •

Centrally manage anti-malware software.

10.7 Use Behavior-Based Anti-Malware Software Devices -Detect-   • •

Use behavior-based anti-malware software.

CIS Controls v8 Control 10: Malware Defenses 35

 11 Data
CONTROL

Recovery
SAFEGUARDS TOTAL• 5 IG1• 4/5 IG2• 5/5 IG3• 5/5

Overview Establish and maintain data recovery practices sufficient

to restore in-scope enterprise assets to a pre-incident and
trusted state.

Why is this Control critical?

In the cybersecurity triad—Confidentiality, Integrity, and Availability (CIA)—the
availability of data is, in some cases, more critical than its confidentiality. Enterprises
need many types of data to make business decisions, and when that data is not
available or is untrusted, then it could impact the enterprise. An easy example is
weather information to a transportation enterprise.

When attackers compromise assets, they make changes to configurations, add

accounts, and often add software or scripts. These changes are not always easy
to identify, as attackers might have corrupted or replaced trusted applications with
malicious versions, or the changes might appear to be standard-looking account
names. Configuration changes can include adding or changing registry entries, opening
ports, turning off security services, deleting logs, or other malicious actions that
make a system insecure. These actions do not have to be malicious; human error can
cause each of these as well. Therefore, it is important to have an ability to have recent
backups or mirrors to recover enterprise assets and data back to a known trusted state.

There has been an exponential rise in ransomware over the last few years. It is not a
new threat, though it has become more commercialized and organized as a reliable
method for attackers to make money. If an attacker encrypts an enterprise’s data and
demands ransom for its restoration, having a recent backup to recover to a known,
trusted state can be helpful. However, as ransomware has evolved, it has also become
an extortion technique, where data is exfiltrated before being encrypted, and the
attacker asks for payment to restore the enterprise’s data, as well as to keep it from
being sold or publicized. In this case, restoration would only solve the issue of restoring
systems to a trusted state and continuing operations. Leveraging the guidance within
the CIS Controls will help reduce the risk of ransomware through improved cyber
hygiene, as attackers usually use older or basic exploits on insecure systems.

CIS Controls v8 Control 11: Data Recovery 36

Procedures and tools
Data recovery procedures should be defined in the data management process
described in CIS Control 3, Data Protection. This should include backup procedures
based on data value, sensitivity, or retention requirements. This will assist in developing
backup frequency and type (full vs. incremental).

Once per quarter (or whenever a new backup process or technology is introduced),
a testing team should evaluate a random sampling of backups and attempt to restore
them on a test bed environment. The restored backups should be verified to ensure
that the operating system, application, and data from the backup are all intact
and functional.

In the event of malware infection, restoration procedures should use a version of the
backup that is believed to predate the original infection.

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

11.1 Establish and Maintain a Data Recovery Process  Data -Recover- • • •

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.

11.2 Perform Automated Backups  Data -Recover- • • •

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

11.3 Protect Recovery Data Data -Protect- • • •

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

11.4 Establish and Maintain an Isolated Instance of Recovery Data  Data -Recover- • • •
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.

11.5 Test Data Recovery Data -Recover- • •

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

CIS Controls v8 Control 11: Data Recovery 37

 12 Network Infrastructure
CONTROL

Management
SAFEGUARDS TOTAL• 8 IG1• 1/8 IG2• 7/8 IG3• 8/8

Overview Establish, implement, and actively manage (track, report, correct)

network devices, in order to prevent attackers from exploiting
vulnerable network services and access points.

Why is this Control critical?

Secure network infrastructure is an essential defense against attacks. This includes
an appropriate security architecture, addressing vulnerabilities that are, often times,
introduced with default settings, monitoring for changes, and reassessment of current
configurations. Network infrastructure includes devices such as physical and virtualized
gateways, firewalls, wireless access points, routers, and switches.

Default configurations for network devices are geared for ease-of-deployment and
ease-of-use—not security. Potential default vulnerabilities include open services and
ports, default accounts and passwords (including service accounts), support for older
vulnerable protocols, and pre-installation of unneeded software. Attackers search for
vulnerable default settings, gaps or inconsistencies in firewall rule sets, routers, and
switches and use those holes to penetrate defenses. They exploit flaws in these devices
to gain access to networks, redirect traffic on a network, and intercept data while in
transmission.

Network security is a constantly changing environment that necessitates regular

re-evaluation of architecture diagrams, configurations, access controls, and allowed
traffic flows. Attackers take advantage of network device configurations becoming
less secure over time as users demand exceptions for specific business needs.
Sometimes the exceptions are deployed, but not removed when they are no longer
applicable to the business’s needs. In some cases, the security risk of an exception is
neither properly analyzed nor measured against the associated business need and can
change over time.

Procedures and tools

Enterprises should ensure network infrastructure is fully documented and architecture
diagrams are kept up-to-date. It is important for key infrastructure components
to have vendor support for patches and feature upgrades. Upgrade End-of-Life
(EOL) components before the date they will be out of support or apply mitigating
controls to isolate them. Enterprises need to monitor their infrastructure versions and
configurations for vulnerabilities that would require them to upgrade the network
devices to the latest secure and stable version that does not impact the infrastructure.

CIS Controls v8 Control 12: Network Infrastructure Management 38

 An up-to-date network architecture diagram, including security architecture diagrams,
are an important foundation for infrastructure management. Next is having complete
account management for access control, logging, and monitoring. Finally, infrastructure
administration should only be performed over secure protocols, with strong
authentication (MFA for PAM), and from dedicated administrative devices or out-of-
band networks.

Commercial tools can be helpful to evaluate the rule sets of network filtering devices to
determine whether they are consistent or in conflict. This provides an automated sanity
check of network filters. These tools search for errors in rule sets or Access Controls
Lists (ACLs) that may allow unintended services through the network device. Such
tools should be run each time significant changes are made to firewall rule sets, router
ACLs, or other filtering technologies.

→ For telework and small office guidance, refer to the CIS Controls Telework and
Small Office Network Security Guide – https://www.cisecurity.org/controls/v8/

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

12.1 Ensure Network Infrastructure is Up-to-Date Network -Protect- • • •

Ensure network infrastructure is kept up-to-date. Example implementations include running the latest stable release
of software and/or using currently supported network-as-a-service (NaaS) offerings. Review software versions
monthly, or more frequently, to verify software support.

12.2 Establish and Maintain a Secure Network Architecture Network -Protect- • •

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

12.3 Securely Manage Network Infrastructure Network -Protect- • •

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

12.4 Establish and Maintain Architecture Diagram(s) Network -Identify- • •

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.

12.5 Centralize Network Authentication, Authorization, and

Auditing (AAA)
Network -Protect- • •
Centralize network AAA.

12.6 Use of Secure Network Management and

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

12.7 Ensure Remote Devices Utilize a VPN and are Connecting to an

Enterprise’s AAA Infrastructure
Devices -Protect- • •
Require users to authenticate to enterprise-managed VPN and authentication services prior to accessing enterprise
resources on end-user devices.

12.8 Establish and Maintain Dedicated Computing Resources for All

Administrative Work
Devices -Protect-     •
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.

CIS Controls v8 Control 12: Network Infrastructure Management 39

 13 Network Monitoring
CONTROL

and Defense
SAFEGUARDS TOTAL• 11 IG1• 0/11 IG2• 6/11 IG3• 11/11

Overview 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.

Why is this Control critical?

We cannot rely on network defenses to be perfect. Adversaries continue to evolve
and mature, as they share, or sell, information among their community on exploits
and bypasses to security controls. Even if security tools work “as advertised,” it takes
an understanding of the enterprise risk posture to configure, tune, and log them to be
effective. Often, misconfigurations due to human error or lack of knowledge of tool
capabilities give enterprises a false sense of security.

Security tools can only be effective if they are supporting a process of continuous
monitoring that allows staff the ability to be alerted and respond to security incidents
quickly. Enterprises that adopt a purely technology-driven approach will also experience
more false positives, due to their over-reliance on alerts from tools. Identifying and
responding to these threats requires visibility into all threat vectors of the infrastructure
and leveraging humans in the process of detection, analysis, and response. It is critical
for large or heavily targeted enterprises to have a security operations capability to
prevent, detect, and quickly respond to cyber threats before they can impact the
enterprise. This process will generate activity reports and metrics that will help enhance
security policies, and support regulatory compliance for many enterprises.

As we have seen many times in the press, enterprises have been compromised for
weeks, months, or years before discovery. The primary benefit of having comprehensive
situational awareness is to increase the speed of detection and response. This is
critical to respond quickly when malware is discovered, credentials are stolen, or when
sensitive data is compromised to reduce impact to the enterprise.

Through good situational awareness (i.e., security operations), enterprises will identify
and catalog Tactics, Techniques, and Procedures (TTPs) of attackers, including their
IOCs that will help the enterprise become more proactive in identifying future threats or
incidents. Recovery can be achieved faster when the response has access to complete
information about the environment and enterprise structure to develop efficient
response strategies.

CIS Controls v8 Control 13: Network Monitoring and Defense 40

Procedures and tools
Most enterprises do not need to stand up a Security Operations Center (SOC) to
gain situational awareness. This starts with first understanding critical business
functions, network and server architectures, data and data flows, vendor service and
business partner connection, and end-user devices and accounts. This informs the
development of a security architecture, technical controls, logging, monitoring, and
response procedures.

At the core of this process is a trained and organized team that implements processes
for incident detection, analysis, and mitigation. These capabilities could be conducted
internally, or through consultants or a managed service provider. Enterprises should
consider network, enterprise asset, user credential, and data access activities.
Technology will play a crucial role to collect and analyze all of the data, and monitor
networks and enterprise assets internally and externally to the enterprise. Enterprises
should include visibility to cloud platforms that might not be in line with on-premises
security technology.

Forwarding all important logs to analytical programs, such as Security Information and
Event Management (SIEM) solutions, can provide value; however, they do not provide
a complete picture. Weekly log reviews are necessary to tune thresholds and identify
abnormal events. Correlation tools can make audit logs more useful for subsequent
manual inspection. These tools are not a replacement for skilled information security
personnel and system administrators. Even with automated log analysis tools, human
expertise and intuition are often required to identify and understand attacks.

As this process matures, enterprises will create, maintain, and evolve a knowledge
base that will help to understand and assess the business risks, developing an internal
threat intelligence capability. Threat intelligence is the collection of TTPs from incidents
and adversaries. To accomplish this, a situational awareness program will define and
evaluate which information sources are relevant to detect, report, and handle attacks.
Most mature enterprises can evolve to threat hunting, where trained staff manually
review system and user logs, data flows, and traffic patterns to find anomalies.

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

13.1 Centralize Security Event Alerting Network -Detect-   • •

Centralize security event alerting across enterprise assets for log correlation and analysis. Best practice
implementation requires the use of a SIEM, which includes vendor-defined event correlation alerts. A log analytics
platform configured with security-relevant correlation alerts also satisfies this Safeguard.

13.2 Deploy a Host-Based Intrusion Detection Solution Devices -Detect-   • •

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

13.3 Deploy a Network Intrusion Detection Solution Network -Detect-   • •

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.

13.4 Perform Traffic Filtering Between Network Segments Network -Protect-   • •

Perform traffic filtering between network segments, where appropriate.

CIS Controls v8 Control 13: Network Monitoring and Defense 41

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

13.5 Manage Access Control for Remote Assets Devices -Protect-   • •

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.

13.6 Collect Network Traffic Flow Logs Network -Detect-   • •

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

13.7 Deploy a Host-Based Intrusion Prevention Solution Devices -Protect-     •

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.

13.8 Deploy a Network Intrusion Prevention Solution Network -Protect-     •

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

13.9 Deploy Port-Level Access Control Devices -Protect-     •

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.

13.10 Perform Application Layer Filtering Network -Protect-     •

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

13.11 Tune Security Event Alerting Thresholds Network -Detect-     •

Tune security event alerting thresholds monthly, or more frequently.

CIS Controls v8 Control 13: Network Monitoring and Defense 42

 14 Security Awareness
CONTROL

and Skills Training

SAFEGUARDS TOTAL• 9 IG1• 8/9 IG2• 9/9 IG3• 9/9

Overview 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.

Why is this Control critical?

The actions of people play a critical part in the success or failure of an enterprise’s
security program. It is easier for an attacker to entice a user to click a link or open an
email attachment to install malware in order to get into an enterprise, than to find a
network exploit to do it directly.

Users themselves, both intentionally and unintentionally, can cause incidents as a

result of mishandling sensitive data, sending an email with sensitive data to the wrong
recipient, losing a portable end-user device, using weak passwords, or using the same
password they use on public sites.

No security program can effectively address cyber risk without a means to address this
fundamental human vulnerability. Users at every level of the enterprise have different
risks. For example: executives manage more sensitive data; system administrators have
the ability to control access to systems and applications; and users in finance, human
resources, and contracts all have access to different types of sensitive data that can
make them targets.

The training should be updated regularly. This will increase the culture of security and
discourage risky workarounds.

Procedures and tools

An effective security awareness training program should not just be a canned, once-
a-year training video coupled with regular phishing testing. While annual training is
needed, there should also be more frequent, topical messages and notifications about
security. This might include messages about: strong password-use that coincides with
a media report of password dump, the rise of phishing during tax time, or increased
awareness of malicious package delivery emails during the holidays.

CIS Controls v8 Control 14: Security Awareness and Skills Training 43

 Training should also consider the enterprise’s different regulatory and threat posture.
Financial firms might have more compliance-related training on data handling and use,
healthcare enterprises on handling healthcare data, and merchants for credit card data.

Social engineering training, such as phishing tests, should also include awareness
of tactics that target different roles. For example, the financial team will receive
BEC attempts posing as executives asking to wire money, or receive emails from
compromised partners or vendors asking to change the bank account information for
their next payment.

For more comprehensive treatment of this topic, the following resources are helpful to
build an effective security awareness program:

→ NIST® SP 800-50 Infosec Awareness Training – https://nvlpubs.nist.gov/

nistpubs/Legacy/SP/nistspecialpublication800-50.pdf

→ National Cyber Security Centre (UK) – https://www.ncsc.gov.uk/guidance/10-

steps-user-education-and-awareness

→ EDUCAUSE – https://www.educause.edu/focus-areas-and-initiatives/policy-
and-security/cybersecurity-program/awareness-campaigns

→ National Cyber Security Alliance (NCSA) – https://staysafeonline.org/

→ SANS – https://www.sans.org/security-awareness-training/resources

→ For guidance on configuring home routers see the CIS Controls Telework
and Small Office Network Security Guide – https://www.cisecurity.org/white-
papers/cis-controls-telework-and-small-office-network-security-guide/

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

14.1 Establish and Maintain a Security Awareness Program N/A -Protect- • • •

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.

14.2 Train Workforce Members to Recognize Social

Engineering Attacks
N/A -Protect- • • •
Train workforce members to recognize social engineering attacks, such as phishing, pre-texting, and tailgating. 

14.3 Train Workforce Members on Authentication Best Practices N/A -Protect- • • •

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

14.4 Train Workforce on Data Handling Best Practices N/A -Protect- • • •

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.

CIS Controls v8 Control 14: Security Awareness and Skills Training 44

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

14.5 Train Workforce Members on Causes of Unintentional

Data Exposure
N/A -Protect- • • •
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.

14.6 Train Workforce Members on Recognizing and Reporting

Security Incidents
N/A -Protect- • • •
Train workforce members to be able to recognize a potential incident and be able to report such an incident. 

14.7 Train Workforce on How to Identify and Report if Their Enterprise

Assets are Missing Security Updates
N/A -Protect- • • •
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.

14.8 Train Workforce on the Dangers of Connecting to and

Transmitting Enterprise Data Over Insecure Networks
N/A -Protect- • • •
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.

14.9 Conduct Role-Specific Security Awareness and Skills Training N/A -Protect- • •
Conduct role-specific security awareness and skills training. Example implementations include secure system
administration courses for IT professionals, OWASP® Top 10 vulnerability awareness and prevention training for web
application developers, and advanced social engineering awareness training for high-profile roles.

CIS Controls v8 Control 14: Security Awareness and Skills Training 45

 15 Service Provider
CONTROL

Management
SAFEGUARDS TOTAL• 7 IG1• 1/7 IG2• 4/7 IG3• 7/7

Overview 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.

Why is this Control critical?

In our modern, connected world, enterprises rely on vendors and partners to help
manage their data or rely on third-party infrastructure for core applications or functions.

There have been numerous examples where third-party breaches have significantly
impacted an enterprise; for example, as early as the late 2000s, payment cards were
compromised after attackers infiltrated smaller third-party vendors in the retail industry.
More recent examples include ransomware attacks that impact an enterprise indirectly,
due to one of their service providers being locked down, causing disruption to business.
Or worse, if directly connected, a ransomware attack could encrypt data on the
main enterprise.

Most data security and privacy regulations require their protection extend to third-party
service providers, such as with Health Insurance Portability and Accountability Act
(HIPAA) Business Associate agreements in healthcare, Federal Financial Institutions
Examination Council (FFIEC) requirements for the financial industry, and the United
Kingdom (U.K.) Cyber Essentials. Third-party trust is a core Governance Risk and
Compliance (GRC) function, as risks that are not managed within the enterprise are
transferred to entities outside the enterprise.

While reviewing the security of third-parties has been a task performed for decades,
there is not a universal standard for assessing security; and, many service providers
are being audited by their customers multiple times a month, causing impacts to their
own productivity. This is because every enterprise has a different “checklist” or set of
standards to grade the service provider. There are only a few industry standards, such
as in finance, with the Shared Assessments program, or in higher education, with
their Higher Education Community Vendor Assessment Toolkit (HECVAT). Insurance
companies selling cybersecurity policies also have their own measurements.

While an enterprise might put a lot of scrutiny into large cloud or application hosting
companies because they are hosting their email or critical business applications,
smaller firms are often a greater risk. Often times, a third-party service provider
contracts with additional parties to provide other plugins or services, such as when a
third-party uses a fourth-party platform or product to support the main enterprise.

CIS Controls v8 Control 15: Service Provider Management 46

Procedures and tools
Most enterprises have traditionally used standard checklists, such as ones from ISO
27001 or the CIS Controls. Often, this process is managed through spreadsheets;
however, there are online platforms now that allow central management of this
process. The focus of this CIS Control though is not on the checklist; instead it is on
the fundamentals of the program. Make sure to revisit annually, as relationships and
data may change.

No matter what the enterprise’s size, there should be a policy about reviewing
service providers, an inventory of these vendors, and a risk rating associated with
their potential impact to the business in case of an incident. There should also be
language in the contracts to hold them accountable if there is an incident that impacts
the enterprise.

There are third-party assessment platforms that have an inventory of thousands of

service providers, which attempt to provide a central view of the industry, to help
enterprises make more informed risk decisions. These platforms often have a dynamic
risk score for service providers, based (usually) on passive technical assessments, or
enriched through other firms’ third-party assessments.

When performing reviews, focus on the services or departments of the provider that are
supporting the enterprise. A third-party that has a managed security service contract,
or retainer, and holds cybersecurity insurance, can also help with risk reduction.

It is also important to securely decommission service providers when contracts are

completed or terminated. Decommission activities may include user and service
account deactivation, termination of data flows, and secure disposal of enterprise data
within service provider systems.

→ Refer to NIST® 800-88r1: Guidelines for Media Sanitization, as

appropriate – https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.
SP.800-88r1.pdf

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

15.1 Establish and Maintain an Inventory of Service Providers N/A -Identify- • • •

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.

15.2 Establish and Maintain a Service Provider Management Policy N/A -Identify- • •
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.

15.3 Classify Service Providers N/A -Identify- • •

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.

CIS Controls v8 Control 15: Service Provider Management 47

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

15.4 Ensure Service Provider Contracts Include Security

Requirements
N/A -Protect- • •
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.

15.5 Assess Service Providers N/A -Identify- •

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.

15.6 Monitor Service Providers Data -Detect- •

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.

15.7 Securely Decommission Service Providers Data -Protect- •

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.

CIS Controls v8 Control 15: Service Provider Management 48

 16 Application Software
CONTROL

Security
SAFEGUARDS TOTAL• 14 IG1• 0/14 IG2• 11/14 IG3• 14/14

Overview 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.

Why is this Control critical?

Applications provide a human-friendly interface to allow users to access and manage
data in a way that is aligned to business functions. They also minimize the need for
users to deal directly with complex (and potentially error-prone) system functions, like
logging into a database to insert or modify files. Enterprises use applications to manage
their most sensitive data and control access to system resources. Therefore, an attacker
can use the application itself to compromise the data, instead of an elaborate network
and system hacking sequence that attempts to bypass network security controls and
sensors. This is why protecting user credentials (specifically application credentials)
defined in CIS Control 6 is so important.

Lacking credentials, application flaws are the attack vector of choice. However, today’s
applications are developed, operated, and maintained in a highly complex, diverse,
and dynamic environment. Applications run on multiple platforms: web, mobile, cloud,
etc., with application architectures that are more complex than legacy client-server
or database-web server structures. Development life cycles have become shorter,
transitioning from months or years in long waterfall methodologies, to DevOps cycles
with frequent code updates. Also, applications are rarely created from scratch, and are
often “assembled” from a complex mix of development frameworks, libraries, existing
code, and new code. There are also modern and evolving data protection regulations
dealing with user privacy. These may require compliance to regional or sector-specific
data protection requirements.

These factors make traditional approaches to security, like control (of processes, code
sources, run-time environment, etc.), inspection, and testing, much more challenging.
Also, the risk that an application vulnerability introduces might not be understood,
except in a specific operational setting or context.

Application vulnerabilities can be present for many reasons: insecure design, insecure
infrastructure, coding mistakes, weak authentication, and failure to test for unusual or
unexpected conditions. Attackers can exploit specific vulnerabilities, including buffer
overflows, exposure to Structured Query Language (SQL) injection, cross-site scripting,
cross-site request forgery, and click-jacking of code to gain access to sensitive data,
or take control over vulnerable assets within the infrastructure as a launching point for
further attacks.

CIS Controls v8 Control 16: Application Software Security 49

 Applications and websites can also be used to harvest credentials, data, or attempt to
install malware onto the users who access them.

Finally, it is now more common to acquire Software as a Service (SaaS) platforms,

where software is developed and managed entirely through a third-party. These might
be hosted anywhere in the world. This brings challenges to enterprises that need to
know what risks they are accepting with using these platforms; and, they often do
not have visibility into the development and application security practices of these
platforms. Some of these SaaS platforms allow for customizing of their interfaces and
databases. Enterprises that extend these applications should follow this CIS Control,
similar to if they were doing ground-up customer development.

Procedures and tools

For Version 8, CIS partnered with SAFECode to help develop the procedures
and Safeguards for this updated Application Software Security Control. However,
application software security is a large topic on its own, and so (consistent with the
principles of the overall CIS Controls), we focus here on the most critical Safeguards.
These were derived from a companion paper on application software security that
SAFECode developed (referenced below), which provides a more in-depth treatment of
the topic, and is consistent with SAFECode’s existing body of content.

SAFECode developed a three-tiered approach to help readers identify which

Development Group (DG) they fit in as a maturity scale for development programs.
The three CIS IG levels used within the Safeguards inspired their approach for
the DGs below:

Development Group 1
• The enterprise largely relies on off-the-shelf or Open Source Software (OSS)
and packages with only the occasional addition of small applications or website
coding. The enterprise is capable of applying basic operational and procedural best
practices and of managing the security of its vendor-supplied software as a result of
following the guidance of the CIS Controls.

Development Group 2
• The enterprise relies on some custom (in-house or contractor-developed) web
and/or native code applications integrated with third-party components and runs
on-premises or in the cloud. The enterprise has a development staff that applies
software development best practices. The enterprise is attentive to the quality and
maintenance of third-party open source or commercial code on which it depends.

Development Group 3
• The enterprise makes a major investment in custom software that it requires to run
its business and serve its customers. It may host software on its own infrastructure,
in the cloud, or both, and may integrate a large range of third-party open source and
commercial software components. Software vendors and enterprises that deliver
SaaS should consider Development Group 3 as a minimum set of requirements.

CIS Controls v8 Control 16: Application Software Security 50

 The first step in developing an application security program is implementing a
vulnerability management process. This process must integrate into the development
life cycle, and should be lightweight to insert into the standard bug-fixing progress. The
process should include root cause analysis to fix underlying flaws so as to reduce future
vulnerabilities, and a severity rating to prioritize remediation efforts.

Developers need to be trained in application security concepts and secure coding

practices. This includes a process to acquire or evaluate third-party software, modules,
and libraries used in the application to ensure they do not introduce security flaws.
The developers should be taught what types of modules they can securely use, where
they can be safely acquired, and which components they can, or should not, develop
themselves (e.g., encryption).

Weaknesses in the infrastructure that supports these applications can introduce

risk. The CIS Controls and the concept of minimizing the attack surface can help
secure networks, systems, and accounts that are used within the application. Specific
guidance can be found in CIS Controls 1-7, 12, and 13.

The ideal application security program is one that introduces security as early into the
software development life cycle as possible. The management of security problems
should be consistent and integrated with standard software flaw/bug management,
as opposed to a separate process that competes for development resources. Larger
or more mature development teams should consider the practice of threat modeling
in the design phase. Design-level vulnerabilities are less common than code-level
vulnerabilities; however, they often are very severe and much harder to fix quickly.
Threat modeling is the process of identifying and addressing application security
design flaws before code is created. Threat modeling requires specific training,
technical, and business knowledge. It is best conducted through internal “security
champions” in each development team, to lead threat modeling practices for that
team’s software. It also provides valuable context to downstream activities, such as root
cause analysis and security testing.

Larger, or commercial, development teams may also consider a bug bounty program
where individuals are paid for finding flaws in their applications. Such a program is
best used to supplement an in-house secure development process and can provide
an efficient mechanism for identifying classes of vulnerabilities that the process needs
to focus on.

Finally, in 2020 NIST® published its Secure Software Development Framework (SSDF),
which brought together what the industry has learned about software security over the
past two decades and created a secure software development framework for planning,
evaluating, and communicating about software security activities. Enterprises acquiring
software or services can use this framework to build their security requirements and
understand whether a software provider’s development process follows best practices.
These are some application security resources:

→ SAFECode Application Security Addendum – https://safecode.org/cis-controls/

→ NIST® SSDF – https://csrc.nist.gov/News/2020/mitigating-risk-of-
software-vulns-ssdf

→ The Software Alliance – https://www.bsa.org/reports/updated-bsa-framework-

for-secure-software

→ OWASP® – https://owasp.org/

CIS Controls v8 Control 16: Application Software Security 51

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

16.1 Establish and Maintain a Secure Application

Development Process
Applications -Protect- • •
Establish and maintain a secure application development process. In the process, address such items as: secure
application design standards, secure coding practices, developer training, vulnerability management, security of
third-party code, and application security testing procedures. Review and update documentation annually, or when
significant enterprise changes occur that could impact this Safeguard.

16.2 Establish and Maintain a Process to Accept and Address

Software Vulnerabilities
Applications -Protect- • •
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.

16.3 Perform Root Cause Analysis on Security Vulnerabilities Applications -Protect- • •

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.

16.4 Establish and Manage an Inventory of Third-Party

Software Components
Applications -Protect- • •
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. 

16.5 Use Up-to-Date and Trusted Third-Party Software Components Applications -Protect- • •
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.

16.6 Establish and Maintain a Severity Rating System and Process for
Application Vulnerabilities
Applications -Protect- • •
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.

16.7 Use Standard Hardening Configuration Templates for Application

Infrastructure
Applications -Protect- • •
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.

16.8 Separate Production and Non-Production Systems Applications -Protect- • •

Maintain separate environments for production and non-production systems.

CIS Controls v8 Control 16: Application Software Security 52

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

16.9 Train Developers in Application Security Concepts and

Secure Coding
Applications -Protect- • •
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.

16.10 Apply Secure Design Principles in Application Architectures Applications -Protect- • •

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.

16.11 Leverage Vetted Modules or Services for Application

Security Components
Applications -Protect- • •
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.

16.12 Implement Code-Level Security Checks Applications -Protect- •

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

16.13 Conduct Application Penetration Testing Applications -Protect- •

Conduct application penetration testing. For critical applications, authenticated penetration testing is better suited to
finding business logic vulnerabilities than code scanning and automated security testing. Penetration testing relies
on the skill of the tester to manually manipulate an application as an authenticated and unauthenticated user. 

16.14 Conduct Threat Modeling Applications -Protect- •

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.

CIS Controls v8 Control 16: Application Software Security 53

 17 Incident Response
CONTROL

Management
SAFEGUARDS TOTAL• 9 IG1• 3/9 IG2• 8/9 IG3• 9/9

Overview 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.

Why is this Control critical?

A comprehensive cybersecurity program includes protections, detections, response,
and recovery capabilities. Often, the final two get overlooked in immature enterprises,
or the response technique to compromised systems is just to re-image them to original
state, and move on. The primary goal of incident response is to identify threats on the
enterprise, respond to them before they can spread, and remediate them before they
can cause harm. Without understanding the full scope of an incident, how it happened,
and what can be done to prevent it from happening again, defenders will just be in a
perpetual “whack-a-mole” pattern.

We cannot expect our protections to be effective 100% of the time. When an incident
occurs, if an enterprise does not have a documented plan—even with good people—it is
almost impossible to know the right investigative procedures, reporting, data collection,
management responsibility, legal protocols, and communications strategy that will
allow the enterprise to successfully understand, manage, and recover.

Along with detection, containment, and eradication, communication to stakeholders

is key. If we are to reduce the probability of material impact due to a cyber event, the
enterprise’s leadership must know what potential impact there could be, so that they
can help prioritize remediation or restoration decisions that best support the enterprise.
These business decisions could be based on regulatory compliance, disclosure rules,
service-level agreements with partners or customers, revenue, or mission impacts.

Dwell time from when an attack happens to when it is identified can be days, weeks,
or months. The longer the attacker is in the enterprise’s infrastructure, the more
embedded they become and they will develop more ways to maintain persistent access
for when they are eventually discovered. With the rise of ransomware, which is a stable
moneymaker for attackers, this dwell time is critical, especially with modern tactics of
stealing data before encrypting it for ransom.

CIS Controls v8 Control 17: Incident Response Management 54

Procedures and tools
Even if an enterprise does not have resources to conduct incident response within an
enterprise, it is still critical to have a plan. This would include the sources for protections
and detections, a list of who to call upon for assistance, and communication plans
about how to convey information to leadership, employees, regulators, partners,
and customers.

After defining incident response procedures, the incident response team, or a third-
party, should engage in periodic scenario-based training, working through a series of
attack scenarios fine-tuned to the threats and potential impacts the enterprise faces.
These scenarios help ensure that enterprise leadership and technical team members
understand their role in the incident response process to help prepare them to handle
incidents. It is inevitable that exercise and training scenarios will identify gaps in
plans and processes, and unexpected dependencies, which can then be updated
into the plan.

More mature enterprises should include threat intelligence and/or threat hunting
into their incident response process. This will help the team become more proactive,
identifying key or primary attackers to their enterprise or industry to monitor or search
for their TTPs. This will help focus detections and define response procedures to
identify and remediate more quickly.

The actions in CIS Control 17 provide specific, high-priority steps that can improve
enterprise security, and should be a part of any comprehensive incident and response
plan. In addition, we recommend the following resource dedicated to this topic:

→ Council of Registered Security Testers (CREST) Cyber Security Incident

Response Guide – https://www.crest-approved.org/wp-content/
uploads/2014/11/CSIR-Procurement-Guide.pdf. CREST provides guidance,
standards, and knowledge on a wide variety of cyber defense topics.

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

17.1 Designate Personnel to Manage Incident Handling N/A -Respond- • • •

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.

17.2 Establish and Maintain Contact Information for Reporting

Security Incidents
N/A -Respond- • • •
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.

17.3 Establish and Maintain an Enterprise Process for

Reporting Incidents
N/A -Respond- • • •
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.

CIS Controls v8 Control 17: Incident Response Management 55

 NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

17.4 Establish and Maintain an Incident Response Process N/A -Respond- • •

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.

17.5 Assign Key Roles and Responsibilities N/A -Respond- • •

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.

17.6 Define Mechanisms for Communicating During

Incident Response
N/A -Respond- • •
Determine which primary and secondary mechanisms will be used to communicate and report during a security
incident. Mechanisms can include phone calls, emails, or letters. Keep in mind that certain mechanisms, such as
emails, can be affected during a security incident. Review annually, or when significant enterprise changes occur that
could impact this Safeguard.

17.7 Conduct Routine Incident Response Exercises N/A -Recover- • •

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.

17.8 Conduct Post-Incident Reviews N/A -Recover- • •

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

17.9 Establish and Maintain Security Incident Thresholds N/A -Recover- •

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.

CIS Controls v8 Control 17: Incident Response Management 56

 18 Penetration
CONTROL

Testing
SAFEGUARDS TOTAL• 5 IG1• 0/5 IG2• 3/5 IG3• 5/5

Overview 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.

Why is this Control critical?

A successful defensive posture requires a comprehensive program of effective policies
and governance, strong technical defenses, combined with appropriate action from
people. However, it is rarely perfect. In a complex environment where technology
is constantly evolving and new attacker tradecraft appears regularly, enterprises
should periodically test their controls to identify gaps and to assess their resiliency.
This test may be from external network, internal network, application, system, or
device perspective. It may include social engineering of users, or physical access
control bypasses.

Often, penetration tests are performed for specific purposes:

• As a “dramatic” demonstration of an attack, usually to convince decision-makers of
their enterprise’s weaknesses
• As a means to test the correct operation of enterprise defenses (“verification”)
• To test that the enterprise has built the right defenses in the first place (“validation”)

Independent penetration testing can provide valuable and objective insights about
the existence of vulnerabilities in enterprise assets and humans, and the efficacy of
defenses and mitigating controls to protect against adverse impacts to the enterprise.
They are part of a comprehensive, ongoing program of security management and
improvement. They can also reveal process weaknesses, such as incomplete or
inconsistent configuration management, or end-user training.

Penetration testing differs from vulnerability testing, described in CIS Control 7.

Vulnerability testing just checks for presence of known, insecure enterprise assets, and
stops there. Penetration testing goes further to exploit those weaknesses to see how far
an attacker could get, and what business process or data might be impacted through
exploitation of that vulnerability. This is an important detail, and often penetration
testing and vulnerability testing are incorrectly used interchangeably. Vulnerability
testing is exclusively automated scanning with sometimes manual validation of false

CIS Controls v8 Control 18: Penetration Testing 57

 positives, whereas penetration testing requires more human involvement and analysis,
sometimes supported through the use of custom tools or scripts. However, vulnerability
testing is often a starting point for a penetration test.

Another common term is “Red Team” exercises. These are similar to penetration tests
in that vulnerabilities are exploited; however, the difference is the focus. Red Teams
simulate specific attacker TTPs to evaluate how an enterprise’s environment would
withstand an attack from a specific adversary, or category of adversaries.

Procedures and tools

Penetration testing starts with the reconnaissance of the enterprise and environment,
and scanning to identify the vulnerabilities that can be used as entries into the
enterprise. It is important to make sure all enterprise assets are discovered that are
in-scope, and not just rely on a static list, which might be outdated or incomplete.
Next, vulnerabilities will be identified in these targets. Exploits to these vulnerabilities
are executed to demonstrate specifically how an adversary can either subvert the
enterprise’s security goals (e.g., the protection of specific sensitive data) or achieve
specific adversarial objectives (e.g., the establishment of a covert Command and
Control (C2) infrastructure). The results provide deeper insight, through demonstration,
into the business risks of various vulnerabilities. This can be against physical
access controls, network, system, or application layers, and often includes social
engineering components.

Penetration tests are expensive, complex, and potentially introduce their own risks.
Experienced people from reputable vendors must conduct them. Some risks include
unexpected shutdown of systems that might be unstable, exploits that might delete
or corrupt data or configurations, and the output of a testing report that needs to be
protected itself, because it gives step-by-step instructions on how to break into the
enterprise to target critical assets or data.

Each enterprise should define a clear scope and rules of engagement for penetration
testing. The scope of such projects should include, at a minimum, enterprise assets
with the highest valued information and production processing functionality. Other
lower-value systems may also be tested to see if they can be used as pivot points
to compromise higher-value targets. The rules of engagement for penetration test
analyses should describe, at a minimum, times of day for testing, duration of test(s),
and the overall test approach. Only a few people in the enterprise should know when a
penetration test is performed, and a primary point of contact in the enterprise should
be designated if problems occur. Increasingly popular recently is having penetration
tests conducted through third-party legal counsel to protect the penetration test report
from disclosure.

The Safeguards in this CIS Control provide specific, high-priority steps that can improve
enterprise security, and should be a part of any penetration testing. In addition, we
recommend the use of some of the excellent comprehensive resources dedicated to
this topic to support security test planning, management, and reporting:

→ OWASP Penetration Testing Methodologies – https://www.owasp.org/index.

php/Penetration_testing_methodologies

→ PCI Security Standards Council – https://www.pcisecuritystandards.org/

documents/Penetration-Testing-Guidance-v1_1.pdf

CIS Controls v8 Control 18: Penetration Testing 58

Safeguards
NUMBER TITLE/DESCRIPTION ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

18.1 Establish and Maintain a Penetration Testing Program N/A -Identify-   • •

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.

18.2 Perform Periodic External Penetration Tests Network -Identify-   • •

Perform periodic external penetration tests based on program requirements, no less than annually. External
penetration testing must include enterprise and environmental reconnaissance to detect exploitable information.
Penetration testing requires specialized skills and experience and must be conducted through a qualified party. The
testing may be clear box or opaque box.

18.3 Remediate Penetration Test Findings Network -Protect-   • •

Remediate penetration test findings based on the enterprise’s policy for remediation scope and prioritization.

18.4 Validate Security Measures Network -Protect- •

Validate security measures after each penetration test. If deemed necessary, modify rulesets and capabilities to
detect the techniques used during testing.

18.5 Perform Periodic Internal Penetration Tests N/A -Identify-     •

Perform periodic internal penetration tests based on program requirements, no less than annually. The testing may
be clear box or opaque box.

CIS Controls v8 Control 18: Penetration Testing 59

Appendix
Resources and References
CIS Benchmarks™ – http://www.cisecurity.org/cis-benchmarks/

CIS Controls Cloud Companion Guide – https://www.cisecurity.org/controls/v8/

CIS Community Defense Model (CDM) – https://www.cisecurity.org/controls/v8/

CIS Configuration Assessment Tool (CIS-CAT®) – https://learn.cisecurity.

org/cis-cat/

CIS Controls Assessment Specification – https://controls-assessment-specification.

readthedocs.io/en/latest/

CIS Controls Implementation Groups – https://www.cisecurity.org/controls/v8/

CIS Controls Industrial Control Systems Implementation Guide – https://www.

cisecurity.org/controls/v8/

CIS Controls Internet of Things Companion Guide – https://www.cisecurity.org/

controls/v8/

CIS Controls Mobile Companion Guide – https://www.cisecurity.org/controls/v8/

CIS Controls Self Assessment Tool (CSAT) – https://www.cisecurity.org/controls/

cis-controls-self-assessment-tool-cis-csat/

CIS Controls Telework and Small Office Network Security Guide – https://www.

cisecurity.org/white-papers/cis-controls-telework-and-small-office-network-
security-guide/

CIS Password Policy Guide – https://www.cisecurity.org/white-papers/cis-

password-policy-guide/

CIS Risk Assessment Method (RAM) – https://www.cisecurity.org/controls/v8/

Cloud Security Alliance (CSA) – https://cloudsecurityalliance.org/

Council of Registered Security Testers (CREST) Cyber Security Incident Response

Guide – CREST provides guidance, standards, and knowledge on a wide variety of
cyber defense topics. https://www.crest-approved.org/wp-content/uploads/2014/11/
CSIR-Procurement-Guide.pdf

EDUCAUSE – https://www.educause.edu/focus-areas-and-initiatives/policy-and-
security/cybersecurity-program/awareness-campaigns

International Organization for Standardization – https://www.iso.org/home.html

National Cyber Security Alliance (NCSA) – https://staysafeonline.org/

National Cyber Security Centre (U.K.) – https://www.ncsc.gov.uk/guidance/10-

steps-user-education-and-awareness

CIS Controls v8 Resources and References A1

 National Institute of Standards and Technology (NIST®) – https://www.nist.gov/

National Institute of Standards and Technology (NIST®) SSDF – https://csrc.nist.

gov/News/2020/mitigating-risk-of-software-vulns-ssdf

National Institute of Standards and Technology (NIST®) National Checklist

Program Repository – https://nvd.nist.gov/ncp/repository

National Institute of Standards and Technology (NIST®) Digital Identity

Guidelines – https://pages.nist.gov/800-63-3/

National Institute of Standards and Technology (NIST®) FIPS 140-2 – https://

nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.140-2.pdf

National Institute of Standards and Technology (NIST®) FIPS 140-3 – https://

nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.140-3.pdf

National Institute of Standards and Technology (NIST®) SP 800-50 Infosec

Awareness Training – https://nvlpubs.nist.gov/nistpubs/Legacy/SP/
nistspecialpublication800-50.pdf

National Institute of Standards and Technology (NIST®) SP 800-88r1—Guidelines

for Media Sanitization – https://nvlpubs.nist.gov/nistpubs/SpecialPublications/
NIST.SP.800-88r1.pdf

National Institute of Standards and Technology (NIST®) SP 800-126r3 The

Technical Specification for the Security Content Automation Protocol
(SCAP) – https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.
SP.800-126r3.pdf

OWASP® – https://owasp.org/

OWASP® Penetration Testing Methodologies – https://www.owasp.org/index.php/

Penetration_testing_methodologies

PCI Security Standards Council – https://www.pcisecuritystandards.org/

documents/Penetration-Testing-Guidance-v1_1.pdf

SAFECode Application Security Addendum – https://safecode.org/cis-controls/

SANS – https://www.sans.org/security-awareness-training/resources

The Software Alliance – https://www.bsa.org/reports/updated-bsa-framework-for-

secure-software

Verizon Data Breach Investigations Report – https://enterprise.verizon.com/

resources/reports/2020-data-breach-investigations-report.pdf

CIS Controls v8 Resources and References A2

Controls and Safeguards Index
Control 01 / Safeguard 1.1 — Control 02 / Safeguard 2.3

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

01 Inventory and Control of Enterprise Assets

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.
1.1 Establish and Maintain Detailed Enterprise Asset Inventory Devices -Identify- • • •
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 assets connected 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.

1.2 Address Unauthorized Assets Devices -Respond- • • •

Ensure that a process exists to address unauthorized assets on a weekly basis. The enterprise may choose to remove the asset from the
network, deny the asset from connecting remotely to the network, or quarantine the asset.

1.3 Utilize an Active Discovery Tool Devices -Detect- • •

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.

1.4 Use Dynamic Host Configuration Protocol (DHCP) Logging to Update Enterprise
Asset Inventory
Devices -Identify- • •
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.

1.5 Use a Passive Asset Discovery Tool Devices -Detect- •

Use a passive discovery tool to identify assets connected to the enterprise’s network. Review and use scans to update the enterprise’s
asset inventory at least weekly, or more frequently.

02 Inventory and Control of Software Assets

Actively manage (inventory, track, and correct) all software (operating systems and applications) on the network so that only authorized software
is installed and can execute, and that unauthorized and unmanaged software is found and prevented from installation or execution.
2.1 Establish and Maintain a Software Inventory Applications -Identify- • • •
Establish and maintain a detailed inventory of all licensed software installed on enterprise assets. The software inventory must document
the title, publisher, initial install/use date, and business purpose for each entry; where appropriate, include the Uniform Resource Locator
(URL), app store(s), version(s), deployment mechanism, and decommission date. Review and update the software inventory bi-annually,
or more frequently.

2.2 Ensure Authorized Software is Currently Supported Applications -Identify- • • •

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.

2.3 Address Unauthorized Software Applications -Respond- • • •

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

CIS Controls v8 Controls and Safeguards Index A3

Control 02 / Safeguard 2.4 — Control 03 / Safeguard 3.9

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

2.4 Utilize Automated Software Inventory Tools Applications -Detect- • •

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

2.5 Allowlist Authorized Software Applications -Protect- • •

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

2.6 Allowlist Authorized Libraries Applications -Protect- • •

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.

2.7 Allowlist Authorized Scripts Applications -Protect- •

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.

03 Data Protection
Develop processes and technical controls to identify, classify, securely handle, retain, and dispose of data.
3.1 Establish and Maintain a Data Management Process Data -Identify- • • •
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.

3.2 Establish and Maintain a Data Inventory Data -Identify- • • •

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.

3.3 Configure Data Access Control Lists Data -Protect- • • •

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.

3.4 Enforce Data Retention Data -Protect- • • •

Retain data according to the enterprise’s data management process. Data retention must include both minimum and maximum timelines.

3.5 Securely Dispose of Data Data -Protect- • • •

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.

3.6 Encrypt Data on End-User Devices Devices -Protect- • • •

Encrypt data on end-user devices containing sensitive data. Example implementations can include: Windows BitLocker®, Apple
FileVault®, Linux® dm-crypt.

3.7 Establish and Maintain a Data Classification Scheme Data -Identify- • •

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.

3.8 Document Data Flows Data -Identify- • •

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.

3.9 Encrypt Data on Removable Media Data -Protect- • •

Encrypt data on removable media.

CIS Controls v8 Controls and Safeguards Index A4

Control 03 / Safeguard 3.10 — Control 04 / Safeguard 4.7

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

3.10 Encrypt Sensitive Data in Transit Data -Protect- • •

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

3.11 Encrypt Sensitive Data at Rest Data -Protect- • •

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.

3.12 Segment Data Processing and Storage Based on Sensitivity Network -Protect- • •
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.

3.13 Deploy a Data Loss Prevention Solution Data -Protect- •

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.

3.14 Log Sensitive Data Access Data -Detect- •

Log sensitive data access, including modification and disposal.

04 Secure Configuration of Enterprise Assets and Software

Establish and maintain the secure configuration of enterprise assets (end-user devices, including portable and mobile; network devices; non-
computing/IoT devices; and servers) and software (operating systems and applications).
4.1 Establish and Maintain a Secure Configuration Process Applications -Protect- • • •
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.

4.2 Establish and Maintain a Secure Configuration Process for Network Infrastructure Network -Protect- • • •
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.

4.3 Configure Automatic Session Locking on Enterprise Assets Users -Protect- • • •

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.

4.4 Implement and Manage a Firewall on Servers Devices -Protect- • • •

Implement and manage a firewall on servers, where supported. Example implementations include a virtual firewall, operating system
firewall, or a third-party firewall agent.

4.5 Implement and Manage a Firewall on End-User Devices Devices -Protect- • • •

Implement and manage a host-based firewall or port-filtering tool on end-user devices, with a default-deny rule that drops all traffic
except those services and ports that are explicitly allowed.

4.6 Securely Manage Enterprise Assets and Software Network -Protect- • • •

Securely manage enterprise assets and software. Example implementations include managing configuration through version-controlled-
infrastructure-as-code and accessing administrative interfaces over secure network protocols, such as Secure Shell (SSH) and Hypertext
Transfer Protocol Secure (HTTPS). Do not use insecure management protocols, such as Telnet (Teletype Network) and HTTP, unless
operationally essential.

4.7 Manage Default Accounts on Enterprise Assets and Software Users -Protect- • • •
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.

CIS Controls v8 Controls and Safeguards Index A5

Control 04 / Safeguard 4.8 — Control 05 / Safeguard 5.6

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

4.8 Uninstall or Disable Unnecessary Services on Enterprise Assets and Software Devices -Protect- • •
Uninstall or disable unnecessary services on enterprise assets and software, such as an unused file sharing service, web application
module, or service function.

4.9 Configure Trusted DNS Servers on Enterprise Assets Devices -Protect- • •

Configure trusted DNS servers on enterprise assets. Example implementations include: configuring assets to use enterprise-controlled
DNS servers and/or reputable externally accessible DNS servers.

4.10 Enforce Automatic Device Lockout on Portable End-User Devices Devices -Respond- • •
Enforce automatic device lockout following a predetermined threshold of local failed authentication attempts on portable end-user
devices, where supported. For laptops, do not allow more than 20 failed authentication attempts; for tablets and smartphones, no more
than 10 failed authentication attempts. Example implementations include Microsoft® InTune Device Lock and Apple® Configuration Profile
maxFailedAttempts.

4.11 Enforce Remote Wipe Capability on Portable End-User Devices Devices -Protect- • •
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.

4.12 Separate Enterprise Workspaces on Mobile End-User Devices Devices -Protect- •

Ensure separate enterprise workspaces are used on mobile end-user devices, where supported. Example implementations
include using an Apple® Configuration Profile or Android™ Work Profile to separate enterprise applications and data from personal
applications and data.

05 Account Management
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.
5.1 Establish and Maintain an Inventory of Accounts Users -Identify- • • •
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.

5.2 Use Unique Passwords Users -Protect- • • •

Use unique passwords for all enterprise assets. Best practice implementation includes, at a minimum, an 8-character password for
accounts using MFA and a 14-character password for accounts not using MFA.

5.3 Disable Dormant Accounts Users -Respond- • • •

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

5.4 Restrict Administrator Privileges to Dedicated Administrator Accounts Users -Protect- • • •

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.

5.5 Establish and Maintain an Inventory of Service Accounts Users -Identify- • •

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.

5.6 Centralize Account Management Users -Protect- • •

Centralize account management through a directory or identity service.

CIS Controls v8 Controls and Safeguards Index A6

Control 06 / Safeguard 6.1 — Control 07 / Safeguard 7.5

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

06 Access Control Management

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.
6.1 Establish an Access Granting Process Users -Protect- • • •
Establish and follow a process, preferably automated, for granting access to enterprise assets upon new hire, rights grant, or role
change of a user.

6.2 Establish an Access Revoking Process Users -Protect- • • •

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.

6.3 Require MFA for Externally-Exposed Applications Users -Protect- • • •

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.

6.4 Require MFA for Remote Network Access Users -Protect- • • •

Require MFA for remote network access.

6.5 Require MFA for Administrative Access Users -Protect- • • •

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

6.6 Establish and Maintain an Inventory of Authentication and Authorization Systems Users -Identify- • •
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.

6.7 Centralize Access Control Users -Protect- • •

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

6.8 Define and Maintain Role-Based Access Control Data -Protect- •

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.

07 Continuous Vulnerability Management

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.
7.1 Establish and Maintain a Vulnerability Management Process Applications -Protect- • • •
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.

7.2 Establish and Maintain a Remediation Process Applications -Respond- • • •

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

7.3 Perform Automated Operating System Patch Management Applications -Protect- • • •

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

7.4 Perform Automated Application Patch Management Applications -Protect- • • •

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

7.5 Perform Automated Vulnerability Scans of Internal Enterprise Assets Applications -Identify- • •
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.

CIS Controls v8 Controls and Safeguards Index A7

Control 07 / Safeguard 7.6 — Control 08 / Safeguard 8.12

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

7.6 Perform Automated Vulnerability Scans of Externally-Exposed Enterprise Assets Applications -Identify- • •
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.

7.7 Remediate Detected Vulnerabilities Applications -Respond- • •

Remediate detected vulnerabilities in software through processes and tooling on a monthly, or more frequent, basis, based on the
remediation process.

08 Audit Log Management

Collect, alert, review, and retain audit logs of events that could help detect, understand, or recover from an attack.
8.1 Establish and Maintain an Audit Log Management Process Network -Protect- • • •
Establish and maintain an audit log management process that defines the enterprise’s logging requirements. At a minimum, address
the collection, review, and retention of audit logs for enterprise assets. Review and update documentation annually, or when significant
enterprise changes occur that could impact this Safeguard.

8.2 Collect Audit Logs Network -Detect- • • •

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

8.3 Ensure Adequate Audit Log Storage Network -Protect- • • •

Ensure that logging destinations maintain adequate storage to comply with the enterprise’s audit log management process.

8.4 Standardize Time Synchronization Network -Protect- • •

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

8.5 Collect Detailed Audit Logs Network -Detect- • •

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.

8.6 Collect DNS Query Audit Logs Network -Detect- • •

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

8.7 Collect URL Request Audit Logs Network -Detect- • •

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

8.8 Collect Command-Line Audit Logs Devices -Detect- • •

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

8.9 Centralize Audit Logs Network -Detect- • •

Centralize, to the extent possible, audit log collection and retention across enterprise assets.

8.10 Retain Audit Logs Network -Protect- • •

Retain audit logs across enterprise assets for a minimum of 90 days.

8.11 Conduct Audit Log Reviews Network -Detect- • •

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.

8.12 Collect Service Provider Logs Data -Detect- •

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

CIS Controls v8 Controls and Safeguards Index A8

Control 09 / Safeguard 9.1 — Control 10 / Safeguard 10.7

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

09 Email and Web Browser Protections

Improve protections and detections of threats from email and web vectors, as these are opportunities for attackers to manipulate human behavior
through direct engagement.
9.1 Ensure Use of Only Fully Supported Browsers and Email Clients Applications -Protect- • • •
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.

9.2 Use DNS Filtering Services Network -Protect- • • •

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

9.3 Maintain and Enforce Network-Based URL Filters Network -Protect- • •

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.

9.4 Restrict Unnecessary or Unauthorized Browser and Email Client Extensions Applications -Protect- • •
Restrict, either through uninstalling or disabling, any unauthorized or unnecessary browser or email client plugins, extensions, and
add-on applications.

9.5 Implement DMARC Network -Protect- • •

To lower the chance of spoofed or modified emails from valid domains, implement DMARC policy and verification, starting with
implementing the Sender Policy Framework (SPF) and the DomainKeys Identified Mail (DKIM) standards.

9.6 Block Unnecessary File Types Network -Protect- • •

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

9.7 Deploy and Maintain Email Server Anti-Malware Protections Network -Protect- •
Deploy and maintain email server anti-malware protections, such as attachment scanning and/or sandboxing.

10 Malware Defenses
Prevent or control the installation, spread, and execution of malicious applications, code, or scripts on enterprise assets.
10.1 Deploy and Maintain Anti-Malware Software Devices -Protect- • • •
Deploy and maintain anti-malware software on all enterprise assets.

10.2 Configure Automatic Anti-Malware Signature Updates Devices -Protect- • • •

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

10.3 Disable Autorun and Autoplay for Removable Media Devices -Protect- • • •
Disable autorun and autoplay auto-execute functionality for removable media.

10.4 Configure Automatic Anti-Malware Scanning of Removable Media Devices -Detect- • •

Configure anti-malware software to automatically scan removable media.

10.5 Enable Anti-Exploitation Features Devices -Protect- • •

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™.

10.6 Centrally Manage Anti-Malware Software Devices -Protect- • •

Centrally manage anti-malware software.

10.7 Use Behavior-Based Anti-Malware Software Devices -Detect- • •

Use behavior-based anti-malware software.

CIS Controls v8 Controls and Safeguards Index A9

Control 11 / Safeguard 11.1 — Control 12 / Safeguard 12.8

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

11 Data Recovery
Establish and maintain data recovery practices sufficient to restore in-scope enterprise assets to a pre-incident and trusted state.
11.1 Establish and Maintain a Data Recovery Process  Data -Recover- • • •
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.

11.2 Perform Automated Backups  Data -Recover- • • •

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

11.3 Protect Recovery Data Data -Protect- • • •

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

11.4 Establish and Maintain an Isolated Instance of Recovery Data  Data -Recover- • • •
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.

11.5 Test Data Recovery Data -Recover- • •

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

12 Network Infrastructure Management

Establish, implement, and actively manage (track, report, correct) network devices, in order to prevent attackers from exploiting vulnerable
network services and access points.
12.1 Ensure Network Infrastructure is Up-to-Date Network -Protect- • • •
Ensure network infrastructure is kept up-to-date. Example implementations include running the latest stable release of software and/
or using currently supported network-as-a-service (NaaS) offerings. Review software versions monthly, or more frequently, to verify
software support.

12.2 Establish and Maintain a Secure Network Architecture Network -Protect- • •

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

12.3 Securely Manage Network Infrastructure Network -Protect- • •

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

12.4 Establish and Maintain Architecture Diagram(s) Network -Identify- • •

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.

12.5 Centralize Network Authentication, Authorization, and Auditing (AAA) Network -Protect- • •
Centralize network AAA.

12.6 Use of Secure Network Management and Communication Protocols  Network -Protect- • •
Use secure network management and communication protocols (e.g., 802.1X, Wi-Fi Protected Access 2 (WPA2) Enterprise or greater).

12.7 Ensure Remote Devices Utilize a VPN and are Connecting to an Enterprise’s AAA
Infrastructure
Devices -Protect- • •
Require users to authenticate to enterprise-managed VPN and authentication services prior to accessing enterprise resources on end-
user devices.

12.8 Establish and Maintain Dedicated Computing Resources for All Administrative Work Devices -Protect- •
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.

CIS Controls v8 Controls and Safeguards Index A10

Control 13 / Safeguard 13.1 — Control 14 / Safeguard 14.2

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

13 Network Monitoring and Defense

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.
13.1 Centralize Security Event Alerting Network -Detect- • •
Centralize security event alerting across enterprise assets for log correlation and analysis. Best practice implementation requires the use
of a SIEM, which includes vendor-defined event correlation alerts. A log analytics platform configured with security-relevant correlation
alerts also satisfies this Safeguard.

13.2 Deploy a Host-Based Intrusion Detection Solution Devices -Detect- • •

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

13.3 Deploy a Network Intrusion Detection Solution Network -Detect- • •

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.

13.4 Perform Traffic Filtering Between Network Segments Network -Protect- • •

Perform traffic filtering between network segments, where appropriate.

13.5 Manage Access Control for Remote Assets Devices -Protect- • •

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.

13.6 Collect Network Traffic Flow Logs Network -Detect- • •

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

13.7 Deploy a Host-Based Intrusion Prevention Solution Devices -Protect- •

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.

13.8 Deploy a Network Intrusion Prevention Solution Network -Protect- •

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

13.9 Deploy Port-Level Access Control Devices -Protect- •

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.

13.10 Perform Application Layer Filtering Network -Protect- •

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

13.11 Tune Security Event Alerting Thresholds Network -Detect- •

Tune security event alerting thresholds monthly, or more frequently.

14 Security Awareness and Skills Training

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.
14.1 Establish and Maintain a Security Awareness Program N/A -Protect- • • •
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.

14.2 Train Workforce Members to Recognize Social Engineering Attacks N/A -Protect- • • •
Train workforce members to recognize social engineering attacks, such as phishing, pre-texting, and tailgating. 

CIS Controls v8 Controls and Safeguards Index A11

Control 14 / Safeguard 14.3 — Control 15 / Safeguard 15.4

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

14.3 Train Workforce Members on Authentication Best Practices N/A -Protect- • • •

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

14.4 Train Workforce on Data Handling Best Practices N/A -Protect- • • •

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.

14.5 Train Workforce Members on Causes of Unintentional Data Exposure N/A -Protect- • • •
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.

14.6 Train Workforce Members on Recognizing and Reporting Security Incidents N/A -Protect- • • •
Train workforce members to be able to recognize a potential incident and be able to report such an incident. 

14.7 Train Workforce on How to Identify and Report if Their Enterprise Assets are Missing
Security Updates
N/A -Protect- • • •
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.

14.8 Train Workforce on the Dangers of Connecting to and Transmitting Enterprise Data
Over Insecure Networks
N/A -Protect- • • •
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.

14.9 Conduct Role-Specific Security Awareness and Skills Training N/A -Protect- • • •
Conduct role-specific security awareness and skills training. Example implementations include secure system administration courses for
IT professionals, OWASP® Top 10 vulnerability awareness and prevention training for web application developers, and advanced social
engineering awareness training for high-profile roles.

15 Service Provider Management

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.
15.1 Establish and Maintain an Inventory of Service Providers N/A -Identify- • • •
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.

15.2 Establish and Maintain a Service Provider Management Policy N/A -Identify- • •
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.

15.3 Classify Service Providers N/A -Identify- • •

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.

15.4 Ensure Service Provider Contracts Include Security Requirements N/A -Protect- • •
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.

CIS Controls v8 Controls and Safeguards Index A12

Control 15 / Safeguard 15.5 — Control 16 / Safeguard 16.7

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

15.5 Assess Service Providers N/A -Identify- •

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.

15.6 Monitor Service Providers Data -Detect- •

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.

15.7 Securely Decommission Service Providers Data -Protect- •

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.

16  Application Software Security

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.
16.1 Establish and Maintain a Secure Application Development Process Applications -Protect- • •
Establish and maintain a secure application development process. In the process, address such items as: secure application design
standards, secure coding practices, developer training, vulnerability management, security of third-party code, and application security
testing procedures. Review and update documentation annually, or when significant enterprise changes occur that could impact
this Safeguard.

16.2 Establish and Maintain a Process to Accept and Address Software Vulnerabilities Applications -Protect- • •
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.

16.3 Perform Root Cause Analysis on Security Vulnerabilities Applications -Protect- • •

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.

16.4 Establish and Manage an Inventory of Third-Party Software Components Applications -Protect- • •
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. 

16.5 Use Up-to-Date and Trusted Third-Party Software Components Applications -Protect- • •
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.

16.6 Establish and Maintain a Severity Rating System and Process for Application
Vulnerabilities
Applications -Protect- • •
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.

16.7 Use Standard Hardening Configuration Templates for Application Infrastructure Applications -Protect- • •
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.

CIS Controls v8 Controls and Safeguards Index A13

Control 16 / Safeguard 16.8 — Control 17 / Safeguard 17.4

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

16.8 Separate Production and Non-Production Systems Applications -Protect- • •

Maintain separate environments for production and non-production systems.

16.9 Train Developers in Application Security Concepts and Secure Coding Applications -Protect- • •
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.

16.10 Apply Secure Design Principles in Application Architectures Applications -Protect- • •

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.

16.11 Leverage Vetted Modules or Services for Application Security Components Applications -Protect- • •
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.

16.12 Implement Code-Level Security Checks Applications -Protect- •

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

16.13 Conduct Application Penetration Testing Applications -Protect- •

Conduct application penetration testing. For critical applications, authenticated penetration testing is better suited to finding business
logic vulnerabilities than code scanning and automated security testing. Penetration testing relies on the skill of the tester to manually
manipulate an application as an authenticated and unauthenticated user. 

16.14 Conduct Threat Modeling Applications -Protect- •

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.

17 Incident Response Management

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.
17.1 Designate Personnel to Manage Incident Handling N/A -Respond- • • •
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.

17.2 Establish and Maintain Contact Information for Reporting Security Incidents N/A -Respond- • • •
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.

17.3 Establish and Maintain an Enterprise Process for Reporting Incidents N/A -Respond- • • •
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.

17.4 Establish and Maintain an Incident Response Process N/A -Respond- • •

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.

CIS Controls v8 Controls and Safeguards Index A14

Control 17 / Safeguard 17.5 — Control 18 / Safeguard 18.5

SAFEGUARD TITLE/ ASSET TYPE SECURITY FUNCTION IG1 IG2 IG3

CONTROL
NUMBER DESCRIPTION

17.5 Assign Key Roles and Responsibilities N/A -Respond- • •

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.

17.6 Define Mechanisms for Communicating During Incident Response N/A -Respond- • •
Determine which primary and secondary mechanisms will be used to communicate and report during a security incident. Mechanisms
can include phone calls, emails, or letters. Keep in mind that certain mechanisms, such as emails, can be affected during a security
incident. Review annually, or when significant enterprise changes occur that could impact this Safeguard.

17.7 Conduct Routine Incident Response Exercises N/A -Recover- • •

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.

17.8 Conduct Post-Incident Reviews N/A -Recover- • •

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

17.9 Establish and Maintain Security Incident Thresholds N/A -Recover- •

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.

18 Penetration Testing
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.
18.1 Establish and Maintain a Penetration Testing Program N/A -Identify- • •
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.

18.2 Perform Periodic External Penetration Tests Network -Identify- • •

Perform periodic external penetration tests based on program requirements, no less than annually. External penetration testing must
include enterprise and environmental reconnaissance to detect exploitable information. Penetration testing requires specialized skills and
experience and must be conducted through a qualified party. The testing may be clear box or opaque box.

18.3 Remediate Penetration Test Findings Network -Protect- • •

Remediate penetration test findings based on the enterprise’s policy for remediation scope and prioritization.

18.4 Validate Security Measures Network -Protect- •

Validate security measures after each penetration test. If deemed necessary, modify rulesets and capabilities to detect the techniques
used during testing.

18.5 Perform Periodic Internal Penetration Tests N/A -Identify- •

Perform periodic internal penetration tests based on program requirements, no less than annually. The testing may be clear box
or opaque box.

CIS Controls v8 Controls and Safeguards Index A15

 The Center for Internet Security, Inc. (CIS®) makes the connected
world a safer place for people, businesses, and governments
through our core competencies of collaboration and innovation.
We are a community-driven nonprofit, responsible for the CIS
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more, visit www.cisecurity.org or follow us on Twitter: @CISecurity.

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