PES-01: Physical & Environmental Protections

There is no evidence of a capability to facilitate the operation of physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Physical access control is decentralized.
• Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs).
• Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.
• IT personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization's technology assets and data.

Physical & Environmental Security (PES) efforts are requirements-driven and governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
• IT/cybersecurity personnel identify cybersecurity and data protection controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control.
• Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls.
• Physical security controls are primarily administrative in nature (e.g., policies & standards).
• Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.

Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls.

• The Chief Information Security Officer (CISO), or similar function with technical competence to address cybersecurity concerns, analyzes the organization's business strategy to determine prioritized and authoritative guidance for physical access control practices.
• The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for physical access controls.
• A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity and data protection controls to protect the confidentiality, integrity, availability and safety of the organization's applications, systems, services and data with regards to physical access controls.
• A steering committee is formally established to provide executive oversight of the cybersecurity and data privacy program, including physical access controls.
• A physical security team, or similar function:
• A facilities maintenance team, or similar function, manages the operation of environmental protection controls.
• Administrative processes exist to authorize physical access to facilities based on the position or role of the individual.
• Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access.

Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
• Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
• Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
• Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
• Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
• Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See C|P-CMM4. There are no defined C|P-CMM5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to facilitate the operation of physical and environmental protection controls.