Define your NIST CSF Audit Scope
Overview
Define your NIST CSF Audit Scope to set the boundaries of the audit and identify the object in focus.
The object can include the people, data, system, or product in review. The scope definition allows the auditors to focus on an aspect of the organization rather than the whole. This is why it is important to clearly define the scope in review for your given audit.
Determining your NIST CSF audit scope requires your organization to specify the product, the data, the systems, and the vendors in scope.
Read below for guidance on how to determine each scope item. A table listing each item is provided below to use as a template for this exercise.
Product(s) in scope
For a Software as a Service (SaaS) provider, the scope is typically the software application(s) offered to clients. Some organizations have multiple products, and it is important to define for your NIST CSF what product is in focus and what product isn’t.
When conducting an audit of an organization’s cybersecurity practices, it is important to determine the scope of the audit and identify the specific products that will be included. In the case of a NIST CSF audit, the focus is on assessing an organization’s adherence to the cybersecurity framework developed by the National Institute of Standards and Technology (NIST). While there are no specific products mentioned in the audit scope, it is essential to evaluate the organization’s use of relevant cybersecurity tools and technologies.
The NIST CSF provides a set of guidelines and best practices for managing and improving cybersecurity risk. It covers various aspects of cybersecurity, including identifying and protecting critical assets, detecting and responding to threats, and recovering from incidents. To assess an organization’s compliance with these guidelines, it is necessary to evaluate the products and technologies they use to implement these practices.
Some common product categories that may be included in the scope of a NIST CSF audit include firewalls, intrusion detection systems, antivirus software, vulnerability scanners, and security information and event management (SIEM) solutions. These products play a crucial role in protecting an organization’s systems and data from unauthorized access, detecting and mitigating security incidents, and monitoring for potential threats.
During the audit, the effectiveness of these products will be assessed based on their ability to meet the requirements outlined in the NIST CSF. This includes evaluating their configuration and deployment, monitoring capabilities, incident response capabilities, and integration with other security controls. By examining these products in scope for the NIST CSF audit, organizations can gain valuable insights into their cybersecurity posture and identify areas for improvement.
Data in scope
The NIST CSF (National Institute of Standards and Technology Cybersecurity Framework) provides a comprehensive set of guidelines and best practices for organizations to manage and improve their cybersecurity posture. As part of the NIST CSF, organizations need to conduct regular audits to assess their adherence to the framework’s guidelines. When conducting a NIST CSF audit, one important aspect to consider is the data in scope.
In the context of a NIST CSF audit scope, data refers to any information that is processed, transmitted, or stored within the organization’s systems and networks. This includes sensitive customer data, employee information, financial records, intellectual property, and any other data that the organization deems valuable or confidential. The scope of data in a NIST CSF audit may vary depending on the size and nature of the organization, as well as any applicable legal or regulatory requirements.
During a NIST CSF audit, auditors will assess how well the organization protects this data from unauthorized access, disclosure, alteration, or destruction. They will evaluate whether the organization has implemented appropriate controls and safeguards to mitigate risks and ensure the confidentiality, integrity, and availability of the data. This may include reviewing security policies and procedures, conducting vulnerability assessments and penetration testing, reviewing access controls, and assessing incident response capabilities.
It is crucial for organizations to clearly define the scope of data in their NIST CSF audits to ensure that all relevant systems, networks, and processes are included. By conducting a thorough audit of the data in scope, organizations can identify vulnerabilities and weaknesses in their cybersecurity defenses and take appropriate measures to strengthen them. This helps to minimize the risk of data breaches and protect sensitive information from unauthorized access or misuse.
Systems in scope
To identify all your systems in scope, take an inventory of all the various systems and internal controls that are critical to delivering your service or product in scope. This includes email and Slack. The key is to focus on the systems and tools that are essential to delivering your service / product. Production systems have a direct impact on your product or service in lieu of non-production systems.
For HR systems, focus on systems that manage employee onboarding and training processes. Everything else, such as time off requests and benefits, is out of scope since it is not critical to delivering a service or product.
For a SaaS provider, it’s typically all the infrastructure that hosts it and the procedures that support it, such as AWS, Github, JIRA, etc.
Vendors in scope
When conducting a NIST CSF audit, it is important to consider the vendors that are within the scope of the audit. Vendors play a crucial role in the cybersecurity ecosystem of an organization, as they often have access to sensitive data and systems. Including vendors in the audit scope ensures that their security practices are aligned with the organization’s cybersecurity objectives.
The first step in determining which vendors to include in the NIST CSF audit scope is to identify those that have a direct impact on the organization’s information systems. This can include vendors who provide software, hardware, or cloud services. It is important to assess the risks associated with each vendor and prioritize them based on their level of access to critical systems and data.
Once the vendors have been identified, the next step is to assess their cybersecurity practices against the NIST CSF framework. This includes evaluating their compliance with each of the five core functions of Identify, Protect, Detect, Respond, and Recover. The audit should assess whether vendors have implemented appropriate security controls, such as access controls, encryption, and incident response plans.
In addition to assessing individual vendors, it is also important to consider the overall vendor management process within the organization. This includes evaluating how vendors are selected, contracted, and monitored for ongoing compliance with cybersecurity requirements.
A robust vendor management process helps ensure that the organization’s cybersecurity risks are effectively managed across all its third-party relationships. Including vendors in the NIST CSF audit scope helps organizations gain visibility into their overall cybersecurity posture and identify potential vulnerabilities introduced through third-party relationships. It also ensures that vendors are held accountable for maintaining strong cybersecurity practices and helps mitigate risks associated with outsourcing critical functions.
Scoping guidance template
| Scoping guidance |
| Provide a detailed description of your organization’s products or services. Focus on the product or service under review |
| Provide the type of data and people that flow through the product or service under review |
| Please provide a list of systems / tools that flow through or support the product or service under review |
| Please provide the list of critical vendors being used to support the product or service under review |
Read our NIST CSF Overview and Guides to learn more about continuous privacy adherence with privacy essentials in TrustOps!
