Baldrige Cypersecurity Excellence Builder - Tool for Comments

Baldrige Cybersecurity Excellence Builder
Key questions for improving your organization’s cybersecurity performance

Draft September 2016
National Institute of Standards and Technology
Feedback on this draft release of the Baldrige Cybersecurity Excellence Framework will be incorporated into the version 1
release, scheduled for early 2017. Please submit feedback at https://www.nist.gov/baldrige/products-services/baldrigecybersecurity-initiative by December 15, 2016.

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Contents
Introduction

1

C Organizational Context

5

Cybersecurity Processes
1 Leadership
2 Strategy

7
9

3 Customers

11

4 Measurement, Analysis, and Knowledge Management
5 Workforce

15

6 Operations

17

13

Cybersecurity Results
7 Results

19

Evaluating Your Responses

22

Assessment Rubric
Process (Categories 1–6)
Results (Category 7)

24

Self-Analysis Worksheet

25

Glossary of Key Terms

27

23

Appendix: Baldrige Cybersecurity Excellence Builder–Cybersecurity Framework Crosswalk

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Introduction
What is the Baldrige Cybersecurity Excellence Builder?
The Baldrige Cybersecurity Excellence Builder is a voluntary self-assessment tool that enables organizations to better understand
the effectiveness of their cybersecurity risk management efforts. It helps leaders of organizations identify opportunities for
improvement based on their cybersecurity needs and objectives, as well as their larger organizational needs, objectives, and
outcomes.
Using this self-assessment, you can
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determine cybersecurity-related activities that are important to your business strategy and critical service delivery;
prioritize your investments in managing cybersecurity risk;
determine how best to enable your workforce, customers, suppliers, partners, and collaborators to be risk conscious
and security aware, and to fulfill their cybersecurity roles and responsibilities;
assess the effectiveness and efficiency of your use of cybersecurity standards, guidelines, and practices;
assess the cybersecurity results you achieve; and
identify priorities for improvement.

Like the Framework for Improving Critical Infrastructure Cybersecurity (Cybersecurity Framework) and the Baldrige Excellence
Framework, the Baldrige Cybersecurity Excellence Builder is not a one-size-fits-all approach. It is adaptable and scalable to your
organization’s needs, goals, capabilities, and environment. It does not prescribe how you should structure your organization’s
cybersecurity policies and operations. Through interrelated sets of open-ended questions, it encourages you to use the
approaches that best fit your organization.

What is the relationship between the Baldrige Cybersecurity Excellence Builder and the
Framework for Improving Critical Infrastructure Cybersecurity?
The Baldrige Cybersecurity Excellence Builder blends the systems perspective of the Baldrige Excellence Framework with the
Cybersecurity Framework.
The Cybersecurity Framework assembles and organizes standards, guidelines, and practices that are working effectively in many
organizations. In the Baldrige approach as applied to cybersecurity, an organization manages all areas affected by cybersecurity
as a unified whole. As shown in the diagram below, the system consists of your cybersecurity-related approaches in the areas of
leadership, strategy, customers, workforce, and operations, as well as the results you achieve. The system foundation is
measurement, analysis, and knowledge management. The background for all of these components is the Organizational
Context. In this set of questions, you define your organization’s distinctive characteristics and situation as they relate to
cybersecurity.

The Baldrige Cybersecurity Excellence Builder incorporates the content outlined in the Cybersecurity Framework into those
system elements. The table in the Appendix shows how the items in the Baldrige Cybersecurity Excellence Builder relate to the
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elements of the Cybersecurity Framework.

Who in an organization should use the Baldrige Cybersecurity Excellence Builder?
The Baldrige Cybersecurity Excellence Builder is intended for use by the leaders and managers in your organization who are
concerned with and responsible for mission-driven, cybersecurity-related policy and operations. These leaders and managers
may include senior leaders, chief security officers, and chief information officers, among others.
Role/Function

Board and
Executive
Management

Chief Information
Officer (CIO)

Chief Information
Security Officer
(CISO)

IT Process
Management

Risk Management

Legal/Compliance
Roles

Employees
(Workforce)

Benefit of/Reason for Using the Baldrige Cybersecurity Excellence Builder


Understand how internal and external cybersecurity should support organizational (business) objectives,
including support for customers



Understand current and planned workforce engagement processes and their success



Understand opportunities to improve cybersecurity in alignment with organizational objectives



Understand the potential exposure of the organization’s assets to various risks



Align cybersecurity policy and practices with the organization’s mission, vision, and values



Understand how cybersecurity affects organizational information management practices and culture



Improve communication and engagement with organizational leaders and the cybersecurity workforce



Understand how cybersecurity affects the organization’s culture and environment



Support the organization’s commitment to legal and ethical behavior



Create and apply cybersecurity policy and practices to support the organization’s mission, vision, and values



Respond to rapid or unexpected organizational or external changes



Support continuous improvement through periodic use of the self-assessment tool



Support organizational understanding of compliance with various contractual and/or regulatory requirements



Understand the effectiveness of workforce communication, learning, and engagement, as well as operational
considerations for cybersecurity.

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Improve understanding of business requirements and mission objectives and their priorities



Determine the effectiveness of IT processes and potential improvements



Understand how aspects of cybersecurity are integrated with organizational change management processes



Discern the impact of cybersecurity on internal/external customers, partners, and workforce



Improve understanding of how workforce engagement in cybersecurity and communication to the workforce
about cybersecurity impact the organization’s overall risk posture



Understand legal/ethical behavior on the part of the workforce, as well as the overall cultural environment



Understand how the organization applies cybersecurity-related policies and operations to ensure responsible
governance, including legal, regulatory, and community concerns



Understand leaders’ expectations



Be better prepared for changes in cybersecurity capability and capacity needs



Benefit from a workplace culture and environment characterized by open communication, high performance,
and engagement in cybersecurity matters



Learn to fulfill their cybersecurity roles and responsibilities

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How can organizations use the Baldrige Cybersecurity Excellence Builder to assess and
improve their management of cybersecurity risks?
There are 17 items (plus 2 in Organizational Context), each with a particular focus. These items are divided into three groups
according to the kinds of information they ask for:


The Organizational Context asks you to define the organizational environment that informs your cybersecurity risk
management program.



Process items (categories 1–6) ask you to define your organization’s processes relating to cybersecurity risk
management.



Results items (category 7) ask you to report results for your organization’s cybersecurity-related processes.



The Assessment Rubric (page 25) helps you evaluate the effectiveness and efficiency of your cybersecurity-related
processes, as well as the quality of your cybersecurity-related results and how they work together as a system.

Here is how you might use the Baldrige Cybersecurity Excellence Builder in a self-assessment of your organization’s
cybersecurity-related work.

1. Decide on the scope of your self-assessment.
The Baldrige Cybersecurity Excellence Builder is most valuable as a voluntary assessment of an entire organization’s
cybersecurity risk management program, but it is also useful in assessing a subunit, multiple subunits, or parts of an
organization.

2. Complete the Organizational Context.
The Organizational Context section is critically important for the following reasons:
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It helps you identify gaps in key information and focus on key cybersecurity performance requirements and results.
You can use it as an initial self-assessment. If you identify topics for which conflicting, little, or no information is
available, use these topics for action planning.
It sets the context for and allows you to address unique aspects of your organization’s cybersecurity-related needs in
your responses to the questions in the rest of the Baldrige Cybersecurity Excellence Builder.

3. Answer the process questions in categories 1–6.
Many of the questions begin with “how.” In answering these “how” questions, give information on your organization’s key
cybersecurity-related processes:
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Approach: How do you accomplish your organization’s cybersecurity-related work? How systematic are the key
processes you use?
Deployment: How consistently are your key cybersecurity-related processes used in relevant parts of your
organization?
Learning: Have you evaluated and improved your key cybersecurity-related processes? Have improvements been
shared within your organization?
Integration: How do your cybersecurity-related processes address your current and future organizational needs?

4. Answer the results questions in category 7.
For these five items, give information on the cybersecurity-related results that are the most important to your organization’s
success:
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Levels: For your key measures of the effectiveness and efficiency of cybersecurity-related processes, what is your
current performance?
Trends: Are the results improving, staying the same, or getting worse?
Comparisons: How does your performance compare with that of other organizations and competitors, or with
benchmarks?
Integration: Are you tracking cybersecurity-related results that are important to your organization and consider the
expectations and needs of your key stakeholders? Are you using the results in decision-making?
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5. Assign a descriptor to your responses to each item.
Using the process and results assessment rubrics on pages 25 and 26, assign a descriptor (Reactive, Early, Mature, or Role
Model) to your responses.

6. Prioritize your actions.
Celebrate the strengths of your cybersecurity risk management program, and build on them to improve what you do well.
Sharing what you do well with the rest of your organization can speed improvement.
Also prioritize your opportunities for improving your cybersecurity-related processes and results; you cannot do everything at
once. Think about what is most important for your organization as a whole at this time, balancing the differing needs and
expectations of your stakeholders and your expected results, and decide what to work on first.

7. Develop an action plan, implement it, and measure and evaluate your progress.
As you respond to the questions and gauge your responses against the rubric, you will begin to identify strengths and gaps—first
within the categories and then among them. The coordination of key processes, and linkages between your processes and your
results, can lead to cycles of improvement. As you continue to use this assessment tool, you will learn more and more about
your organization and begin to define the best ways to build on your strengths, close gaps, and innovate. Completing this
voluntary self-assessment might also serve as a first step in carrying out these suggestions in the Cybersecurity Framework,
section 3.0 (“How to Use the Framework”):
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3.1 Basic Review of Cybersecurity Processes: Use the information gained from answering the self-assessment questions
to compare your current cybersecurity activities with those outlined in the Cybersecurity Framework Core.
3.2 Establishing or Improving a Cybersecurity Program: Use your answers to the self-assessment questions to inform
the seven steps in creating or improving a cybersecurity program (see also the Appendix).
3.3 Communicating Cybersecurity Requirements with Stakeholders: Your answers to the questions might inform the
creation of a Target Profile to express cybersecurity risk management requirements to stakeholders.

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C

Organizational Context

C.1

Organizational Description: What are your key organizational characteristics?

a.

Organizational Environment
(1) Product Offerings What are your organization’s main product/service offerings? What is the relative
importance of each to your success? What mechanisms do you use to deliver your products/services?
(2) MISSION, VISION, and VALUES What are your stated MISSION, VISION, and VALUES? What are your organization’s
CORE COMPETENCIES , and what is their relationship to your MISSION?
(3) WORKFORCE Profile What is your overall WORKFORCE profile? What is your CYBERSECURITY WORKFORCE profile?
What recent changes have you experienced in the composition of your overall and your CYBERSECURITY
WORKFORCE or in your needs for them? What are
•
•

Your overall WORKFORCE and CYBERSECURITY WORKFORCE employee groups and SEGMENTS,
the KEY drivers that engage them in accomplishing their work, including CYBERSECURITY-related work, and in
achieving your MISSION and VISION?

(4) Assets What are your priorities for protecting your organization’s assets, based on their criticality and
business value?
(5) Legal and Regulatory Requirements What are the KEY laws and regulations relating to CYBERSECURITY in your
industry? What are the KEY applicable
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safety regulations relating to CYBERSECURITY;
accreditation, certification, or registration requirements relating to CYBERSECURITY;
industry CYBERSECURITY standards; and
environmental, financial, and product regulations relating to CYBERSECURITY?

b. Organizational Relationships
(1) Organizational Structure What are your overall organizational structure and GOVERNANCE system? What are
the reporting relationships among your GOVERNANCE board, SENIOR LEADERS, and parent organization, as
appropriate? What is the structure of your CYBERSECURITY operations? What are the reporting relationships
among your SENIOR LEADERS and your CYBERSECURITY leaders and managers?
(2) CUSTOMERS and STAKEHOLDERS What are your KEY internal and external CUSTOMER groups and STAKEHOLDER
groups, as appropriate? What are their KEY requirements and expectations for your CYBERSECURITY policies and
operations? What are the differences in these requirements and expectations among CUSTOMER groups and
STAKEHOLDER groups?
(3) Suppliers and PARTNERS What are your KEY types of suppliers, PARTNERS, and COLLABORATORS for your
organization as a whole and for your CYBERSECURITY operations? What role do they play in producing and
delivering your KEY products/services and CUSTOMER support services? What CYBERSECURITY roles do they play in
your organization? What are your KEY mechanisms for two-way communication with suppliers, PARTNERS, and
COLLABORATORS ? What are your KEY supply-chain requirements?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
C.1a(3). Your cybersecurity workforce profile might include information on education, tenure, certifications, and other key
characteristics. Workforce or employee groups and segments might be based on type of employment or contract-reporting
relationship, location (including telework), tour of duty, work environment, or other factors.
C.1a(4). Assets include physical devices and systems, software platforms and applications, organizational communication and
data flows, external information systems, and data and information. You should set priorities for protecting these based on their
importance to your mission and business objectives.
C.1b(2). Customer groups might be based on common expectations, behaviors, preferences, or profiles. Within a group, there
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may be customer segments based on differences, commonalities, or both. You might subdivide your market into market
segments based on product lines or features, distribution channels, business volume, geography, or other defining factors.

C.2
a.

Organizational Situation: What is your organization’s strategic situation?
Competitive Environment
(1) Competitive Position What is your competitive position? What are your relative size and growth in your
industry or the markets you serve? How many and what types of competitors do you have?
(2) Competitiveness Changes What KEY changes, if any, are affecting your competitive situation?
(3) Comparative Data What KEY sources of comparative and competitive CYBERSECURITY data are available from
within your industry? What KEY sources of comparative CYBERSECURITY data are available from outside your
industry? What limitations, if any, affect your ability to obtain or use these data?

b. Strategic Context
What are your KEY STRATEGIC CHALLENGES and ADVANTAGES in the areas of overall operations and CYBERSECURITY?
c.

PERFORMANCE Improvement System
What are the KEY elements of your PERFORMANCE improvement system, including your PROCESSES for evaluation and
improvement of KEY CYBERSECURITY-related projects and PROCESSES?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).

C2.a(3). While comparative data about cybersecurity may be relatively sparse, their use is important for the following reasons:
(1) Your organization needs to know where it stands relative to competitors and to best practices; (2) comparative information
and information obtained from benchmarking often provide the impetus for significant improvement or transformational
change; (3) comparing performance information frequently leads to a better understanding of your processes and their
performance; (4) data on competitors’ performance may reveal organizational advantages as well as challenge areas; and (5)
comparative information may support business analysis and decisions relating to core competencies, partnering, and
outsourcing.
C.2c. Your performance improvement system refers to your overall approach to improving processes and projects within your
organization. The approach you use should be related to your organization’s needs. Some examples of approaches that are
compatible with the overarching systems approach provided by this self-assessment are Lean, Six Sigma, Plan-Do-Check-Act, ISO
standards, and decision science, among others.

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1

Leadership

1.1

Senior and Cybersecurity Leadership: How do your senior and cybersecurity leaders
lead your cybersecurity policies and operations?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do your leaders’ actions demonstrate their commitment to CYBERSECURITY?
(2) HOW do your leaders DEPLOY the organization’s MISSION, VISION, and VALUES to the WORKFORCE, to KEY suppliers and
PARTNERS, and to KEY CUSTOMERS and other STAKEHOLDERS , as appropriate?
(3) HOW do your leaders’ actions demonstrate their commitment to legal and ETHICAL BEHAVIOR?
(4) HOW do your leaders’ actions build CYBERSECURITY policies and operations that are successful now and in the future?
(5) HOW do your leaders communicate with and engage other organizational leaders, the WORKFORCE, and KEY CUSTOMERS
and STAKEHOLDERS regarding CYBERSECURITY?
(6) HOW do your leaders create a focus on action that will achieve the organization’s CYBERSECURITY objectives in ALIGNMENT
with its MISSION?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
1.1. In this item, “leaders” includes your organization’s senior leaders and those specifically responsible for overseeing and
executing cybersecurity risk management and operations. Leadership on cybersecurity policies and approaches ideally resides at
multiple organizational levels. Your organization should decide whether each question refers to all senior leaders or your
cybersecurity leaders.
Q4. To build successful cybersecurity policies and operations that are successful now and in the future, leaders should create an
environment for improvement and learning; create a workforce culture that fosters engagement in cybersecurity matters; and
create an environment for innovation and intelligent risk taking, achievement of your cybersecurity strategic objectives, and
operational agility.
Q6. Leaders should create a focus on actions that will improve cybersecurity performance and achieve innovation and intelligent
risk taking. In setting expectations for cybersecurity-related performance, they should include a focus on creating and balancing
value for customers and other stakeholders.

1.2

Governance and Societal Responsibilities: How do you govern your cybersecurity
policies and operations and fulfill your organization’s societal responsibilities?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW does your organization ensure responsible GOVERNANCE of its CYBERSECURITY policies and operations?
(2) HOW do you address legal, regulatory, and community concerns with your CYBERSECURITY-related policies and
operations?
(3) HOW do you promote and ensure ETHICAL BEHAVIOR in all CYBERSECURITY-related interactions?
(4) HOW do you actively support and strengthen the CYBERSECURITY infrastructure of your KEY communities?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Note
Q3. Some examples of measures of ethical behavior are the percentage of independent board members, instances of ethical
conduct or compliance breaches and responses to them, survey results showing workforce perceptions of organizational ethics,
ethics hotline use, and results of ethics reviews and audits. Other measures might be evidence that policies, workforce training,
and monitoring systems are in place for conflicts of interest.
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Q4. To support and strengthen key communities, an organization might identify these key communities, determine areas for
involvement (e.g., areas for external participation in improving cybersecurity), and contribute to the improvement of
cybersecurity in those key communities.

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2

Strategy

2.1

Strategy Development: How do you develop your cybersecurity strategy?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do you conduct your CYBERSECURITY strategic planning?
(2) HOW do you ensure ALIGNMENT between your CYBERSECURITY strategic planning and your organization’s overall strategic
planning?
(3) HOW does your CYBERSECURITY strategy development PROCESS stimulate and incorporate INNOVATION?
(4) HOW do you collect and analyze relevant data and develop information for your CYBERSECURITY strategic planning
PROCESS?
(5) HOW do you decide which KEY CYBERSECURITY PROCESSES will be accomplished by your WORKFORCE and which by external
suppliers and PARTNERS?
(6) What are your organization’s KEY CYBERSECURITY STRATEGIC OBJECTIVES and timetable for achieving them?
(7) How do your organization’s KEY CYBERSECURITY STRATEGIC OBJECTIVES relate to your organization’s overall STRATEGIC
OBJECTIVES?
(8) HOW do your CYBERSECURITY STRATEGIC OBJECTIVES achieve appropriate balance among varying and potentially competing
organizational needs, including the balance between CUSTOMER and STAKEHOLDER requirements and business
objectives?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Note
2.1. Strategy development refers to your organization’s approach to preparing for the future. In developing your strategy, you
might use various types of forecasts, projections, options, scenarios, knowledge, analyses, or other approaches to envisioning
the future in order to make decisions and allocate resources. As appropriate, you might involve key suppliers, distributors,
partners, and customers in your strategy development.
Q3. Innovation refers to making meaningful change to improve products/services, processes, or organizational effectiveness
and create new value for stakeholders. Innovation involves adopting an idea, process, technology, product, or business model
that is either new or new to its proposed application. The outcome of innovation is a discontinuous or “breakthrough” change in
results, products/services, or processes. Innovation benefits from a supportive environment, a process for identifying strategic
opportunities, and a willingness to pursue intelligent risks.
Q4. The data and information you collect and analyze might relate to current and future cybersecurity risks locally, nationally,
and globally; requirements for and strengths and weaknesses of your partners and supply chain; customer requirements,
expectations, and opportunities, including privacy; your core competencies; the competitive environment and your
performance now and in the future relative to competitors and comparable organizations; your products and services;
technological and other key innovations or changes that might affect your products and services and the way you operate;
workforce and other resource needs; opportunities to redirect resources to higher-priority products, services, or areas;
financial, societal, ethical, regulatory, technological, and other potential risks and opportunities; your ability to prevent and
respond to emergencies; changes in the local, national, or global economy; changes in your parent organization; and other
factors unique to your organization.

2.2

Strategy Implementation: How do you implement your cybersecurity strategy?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) What are your KEY short- and longer-term CYBERSECURITY ACTION PLANS?
(2) HOW do you DEPLOY your CYBERSECURITY ACTION PLANS?
(3) HOW do you ensure that financial and other resources are available to support the achievement of your CYBERSECURITY
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ACTION PLANS

while you meet current obligations?

(4) What are your KEY WORKFORCE plans to support your short- and longer-term CYBERSECURITY STRATEGIC OBJECTIVES and ACTION
PLANS?
(5) What KEY PERFORMANCE MEASURES or INDICATORS do you use to track the achievement and EFFECTIVENESS of your
CYBERSECURITY ACTION PLANS?
(6) For these KEY PERFORMANCE MEASURES or INDICATORS, what are your PERFORMANCE PROJECTIONS for your short- and longerterm planning horizons?
(7) HOW do you establish and implement modified CYBERSECURITY ACTION PLANS if circumstances require a shift in plans and
rapid execution of new plans?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
2.2. The development and deployment of your cybersecurity strategy and action plans are closely linked to other items. The
following are examples of key linkages:


Item 1.1: how your leaders communicate organizational direction



Category 3: how you gather internal and external customer knowledge as input to your cybersecurity strategy and
action plans and to use in deploying action plans



Category 4: how you measure and analyze cybersecurity data and manage cybersecurity knowledge to support key
information needs, support the development of cybersecurity strategy, provide an effective basis for cybersecurity
performance measurements, and track progress on achieving cybersecurity strategic objectives and action plans



Category 5: how you meet cybersecurity workforce capability and capacity needs, determine needs and design your
overall and cybersecurity workforce development and learning system, and implement workforce-related changes
resulting from action plans



Category 6: how you address changes to your cybersecurity work processes resulting from action plans



Item 7.1: specific accomplishments relative to your cybersecurity strategy and action plans

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3

Customers

3.1

Voice of the Customer: How do you obtain information from your customers?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do you listen to, interact with, and observe internal and external CUSTOMERS to obtain actionable information?
(2) HOW do you determine internal and external CUSTOMERS’ satisfaction, dissatisfaction, and ENGAGEMENT with your
organization’s CYBERSECURITY policies and operations?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
3.1. The voice of the customer refers to your process for capturing customer-related information. Voice-of-the-customer
processes are intended to be proactive and continuously innovative so that they capture stated, unstated, and anticipated
customer requirements, expectations, and desires. The goal is customer engagement. In listening to the voice of the customer,
you might gather and integrate various types of customer data, such as survey data, focus group findings, blog comments and
data from other social media, warranty data, marketing and sales information, and complaint data that affect customers’
purchasing and engagement decisions.
Q2. You might use any or all of the following to determine customer satisfaction and dissatisfaction: surveys, formal and
informal feedback, customer account histories, complaints, field reports, win/loss analysis, customer referral rates, and
transaction completion rates. You might gather information on the web, through personal contact or a third party, or by mail.
Determining customer dissatisfaction should be seen as more than reviewing low customer satisfaction scores. Dissatisfaction
should be independently determined to identify root causes and enable a systematic remedy to avoid future dissatisfaction.
Q3. Information on relative customer satisfaction may include comparisons with competitors, comparisons with other
organizations that deliver similar products/services in a noncompetitive marketplace, or comparisons obtained through trade or
other organizations. Information obtained on relative customer satisfaction may also include information on why customers
choose your competitors over you.

3.2

Customer Engagement: How do you engage customers by serving their needs and
building relationships?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do you enable internal and external CUSTOMERS to seek information and support related to your CYBERSECURITY
policies and operations?
(2) HOW do you build and manage internal and external CUSTOMER relationships to increase cooperation and
ENGAGEMENT on CYBERSECURITY matters?
(3) HOW do you ensure that external CUSTOMERS understand and fulfill their CYBERSECURITY roles and responsibilities?
(4) HOW do you manage internal and external CUSTOMER complaints about your CYBERSECURITY policies and operations?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Note
3.2. Your results for customer perceptions and actions (outcomes) should be reported in item 7.2.
Q1. Your approach to enabling customers to seek information and support should include provisions to protect privacy and civil
liberties when personal information is used, collected, processed, maintained, or disclosed in connection with your
organization’s cybersecurity activities. Some examples of activities with privacy or civil liberties considerations include
cybersecurity activities that may result in the overcollection or overretention of personal information; disclosure or use of
personal information unrelated to cybersecurity activities; and cybersecurity mitigation activities that result in denial of service
or other similar potentially adverse impacts, including incident detection or monitoring that may impact freedom of expression
or association.
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Privacy principles to consider incorporating in cybersecurity policies and operations include minimizing the collection,
disclosure, and retention of personal information related to the cybersecurity incident; use limitations outside of cybersecurity
activities on any information collected specifically for cybersecurity activities; transparency for certain cybersecurity activities;
individual consent and redress for adverse impacts arising from use of personal information in cybersecurity activities; data
quality, integrity, and security; and accountability and auditing.

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4

Measurement, Analysis, and Knowledge Management

4.1

Measurement, Analysis, and Improvement of Performance: How do you measure,
analyze, and then improve cybersecurity-related performance?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do you track data and information on daily CYBERSECURITY operations and overall CYBERSECURITY PERFORMANCE?
(2) What are your KEY CYBERSECURITY PERFORMANCE MEASURES?
(3) HOW do you select comparative data and information to support fact-based decision making on CYBERSECURITY
policies and operations?
(4) HOW do you select VOICE-OF-THE-CUSTOMER and market data and information to support fact-based decision making
on CYBERSECURITY policies and operations?
(5) HOW do you ensure that your measurement of CYBERSECURITY PERFORMANCE can respond to rapid or unexpected
organizational or external changes?
(6) HOW do you review your organization’s CYBERSECURITY PERFORMANCE and capabilities?
(7) HOW do you project your organization’s future CYBERSECURITY PERFORMANCE?
(8) HOW do you use findings from PERFORMANCE reviews (addressed in question 6) to develop and DEPLOY priorities for
continuous improvement and opportunities for INNOVATION in your CYBERSECURITY policies and operations?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
4.1. The results of cybersecurity-related performance analysis and review should inform the strategy development and
implementation you describe in category 2. Your cybersecurity-related performance results should be reported in items 7.1–7.5.
Q3. Organizations obtain comparative data and information benchmarking and by seeking competitive comparisons.
Benchmarking is identifying processes and results that represent best practices and performance for similar activities, inside or
outside your industry. Competitive comparisons relate your performance to that of competitors and other organizations
providing similar products and services.
Q6. Your reviews of cybersecurity performance should be informed by performance measures identified throughout this selfassessment tool, and they should be guided by the strategic objectives and action plans you identify in category 2. Reviews
might include a review by your organization’s governance board.

4.2

Knowledge Management: How do you manage your organization's cybersecurityrelated knowledge assets?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do you manage your organization’s CYBERSECURITY-related knowledge?
(2) HOW do you use your knowledge and resources to embed LEARNING in the way your CYBERSECURITY operations
function?
(3) HOW do you maintain your organization’s awareness of a continually changing CYBERSECURITY threat environment?
(4) HOW do you share CYBERSECURITY best practices in your organization and with CUSTOMERS, suppliers, and PARTNERS, as
appropriate?
(5) HOW do you verify and ensure the quality of organizational data and information related to CYBERSECURITY?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
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Baldrige Cybersecurity Excellence Builder DRAFT

Q1. To manage cybersecurity-related knowledge, an organization collects and transfers workforce knowledge related to
cybersecurity; blends and correlates cybersecurity-related data from different sources to build new knowledge; transfers
relevant cybersecurity-related knowledge from and to customers, suppliers, partners, and collaborators; and assembles and
transfers relevant cybersecurity-related knowledge for use in innovation and strategic planning processes.
Q2. Embedding learning in the way your organization operates means that learning (1) is a part of everyday cybersecurity work;
(2) results in solving problems at their source; (3) is focused on building and sharing cybersecurity knowledge throughout your
organization and (4) is driven by opportunities to bring about significant, meaningful change and to innovate with regard to
cybersecurity.

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5

Workforce

5.1

Workforce Environment: How do you build an effective and supportive workforce
environment to achieve your cybersecurity goals?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do you assess your WORKFORCE CAPABILITY and CAPACITY needs related to CYBERSECURITY?
(2) HOW do you recruit, hire, place, and retain new CYBERSECURITY WORKFORCE members?
(3) HOW do you organize and manage your CYBERSECURITY WORKFORCE to establish roles and responsibilities?
(4) HOW do you prepare your WORKFORCE for changing CYBERSECURITY CAPABILITY and CAPACITY needs?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
5. The questions in this category focus on either your overall workforce or your CYBERSECURITY workforce, as you determine to be
appropriate.
5.1. Your cybersecurity workforce consists of the people actively involved in accomplishing your organization’s cybersecurity
work. It includes permanent, temporary, and part-time personnel, as well as any contract employees you supervise. It includes
team leaders, supervisors, and managers at all levels.
Q1. Workforce capability is your organization’s ability to carry out its work processes through its people’s knowledge, skills,
abilities, and competencies.
Workforce capacity is your organization’s ability to ensure sufficient staffing levels to carry out its work processes, including the
ability to meet seasonal or varying demand levels.
Q1. In assessing your workforce capability and capacity needs, you should consider not only current needs but also future
requirements based on the strategic objectives and action plans you identify in category 2.
Q2. This question refers only to new workforce members. For the retention of existing workforce members, see item 5.2,
Workforce Engagement.
Q4. Preparing your workforce for changing capability and capacity needs may involve managing your workforce for change as
you address changes in your external environment, culture, technology, or strategic objectives. These changes could be
organizational (e.g., a merger with another group, or exponential growth or downsizing) or could reflect a significant change in
the threat landscape (e.g., newly discovered vulnerabilities or risks from new technology). Addressing these capability and
capacity needs might include training, education, more frequent communication, consideration of workforce employment and
employability, career counseling, and outplacement and other services.

5.2

Workforce Engagement: How do you engage your workforce to achieve a highperformance work environment in support of cybersecurity policies and
operations?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do you foster an organizational culture that is characterized by open communication, HIGH PERFORMANCE, and a
WORKFORCE that is engaged in CYBERSECURITY matters?
(2) HOW do you assess the ENGAGEMENT of your organization’s overall WORKFORCE in CYBERSECURITY matters?
(3) HOW does your WORKFORCE PERFORMANCE management system support WORKFORCE ENGAGEMENT in CYBERSECURITY
matters and HIGH PERFORMANCE in WORKFORCE members’ fulfillment of their CYBERSECURITY roles and responsibilities?
(4) HOW does your LEARNING and development system support your organization’s needs and the development of your
organization’s overall WORKFORCE members, managers, and leaders in fulfilling their CYBERSECURITY roles and
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Baldrige Cybersecurity Excellence Builder DRAFT

responsibilities?
(5) HOW do you evaluate the EFFECTIVENESS and efficiency of your CYBERSECURITY LEARNING and development system?
(6) HOW do you carry out succession planning for KEY CYBERSECURITY management and leadership positions?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
Q1–Q6. These questions refer to your organization’s entire workforce.
Q2. Drivers of workforce engagement (identified in C.1a[3]) refer to the drivers of workforce members’ commitment, both
emotional and intellectual, to accomplishing the organization’s work (including cybersecurity-related work), mission, and vision.

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6

Operations

6.1

Work Processes: How do you design, manage, and improve your key cybersecurity
work processes?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
a. CYBERSECURITY PROCESS Design, Management, and Improvement
(1) HOW do you determine KEY CYBERSECURITY WORK PROCESS requirements?
(2) HOW do you design your CYBERSECURITY WORK PROCESSES to meet requirements?
(3) HOW does your day-to-day operation of CYBERSECURITY WORK PROCESSES ensure that they meet KEY PROCESS
requirements?
(4) HOW do you determine the KEY support PROCESSES that enable your CYBERSECURITY operations?
(5) HOW do you improve your CYBERSECURITY WORK PROCESSES to improve their PERFORMANCE and reduce variability?
(6) HOW do you manage opportunities for INNOVATION in your CYBERSECURITY operations?
b. PROTECTION of Assets and Systems
(1) HOW do you limit access to assets and associated facilities to authorized users, PROCESSES, or devices, and to
authorized activities and transactions?
(2) HOW do you manage information and records (data) consistent with your risk strategy to PROTECT their
confidentiality and integrity, and ensure their availability?
(3) HOW do you maintain and use security policies (that address purpose, scope, roles, responsibilities,
management commitment, and coordination among organizational entities), PROCESSES, and procedures to
manage PROTECTION of information systems and assets?
(4) HOW do you maintain and repair industrial control and information system components consistent with policies
and procedures?
(5) HOW do you manage technical security solutions to ensure the security and resilience of systems and assets
consistent with related policies, procedures, and agreements?
c. DETECTION of CYBERSECURITY Events
(1) HOW do you DETECT anomalies in a timely manner and assess the impact of CYBERSECURITY events?
(2) HOW do you monitor information systems and assets at discrete intervals to identify CYBERSECURITY events and
verify the effectiveness of protective measures?
(3) HOW do you maintain and test DETECTION PROCESSES and procedures to ensure timely and adequate awareness of
anomalies?
d. RESPONSE to CYBERSECURITY Events
(1) HOW do you execute and maintain RESPONSE PROCESSES and procedures to ensure timely RESPONSE to detected
CYBERSECURITY events?
(2) HOW do you coordinate RESPONSE activities with other WORKFORCE units, CUSTOMERS, and STAKEHOLDERS, as
appropriate, including external law enforcement agencies?
(3) HOW do you analyze your RESPONSE activities to ensure adequate RESPONSE and support RECOVERY activities?
(4) HOW do you limit expansion of an event, mitigate its effects, and eradicate the event?
e. RECOVERY from CYBERSECURITY Events
(1) HOW do you execute and maintain RECOVERY PROCESSES and procedures to ensure timely restoration of systems
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or assets affected by CYBERSECURITY events?
(2) HOW do you coordinate RECOVERY activities with other WORKFORCE units, CUSTOMERS, and STAKEHOLDERS, such as
coordinating centers, Internet service providers, victims, other computer security incident RESPONSE teams, and
vendors?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
6.1a(3). Ensuring that your day-to-day operation of work processes meets requirements includes establishing key performance
measures or in-process measures to control and improve these processes.
6.1a(4). Support processes for your key cybersecurity work processes might include finance and human resource processes, for
example.
6.1a(5). The results of improvements in process performance should be reported in item 7.1. To improve process performance
and reduce variability, you might implement approaches such as a Lean Enterprise System, Six Sigma methodology, ISO quality
system standards, PDCA methodology, decision sciences, or other process improvement tools. These approaches might be part
of the performance improvement system you describe in C.2c in the Organizational Context section.

6.2

Operational Effectiveness: How do you ensure effective management of your
cybersecurity operations?

In your response, include answers to the following questions. Assess your response using the process rubric on page 25.
(1) HOW do you control the overall costs of your CYBERSECURITY operations?
(2) HOW do you ensure that your suppliers and PARTNERS understand and fulfill their CYBERSECURITY roles and
responsibilities?
(3) HOW do you manage your CYBERSECURITY-related supply chain?
(4) HOW do you ensure that your CYBERSECURITY operations consider and align with your organization’s overall operations?
(5) HOW do you ensure that your CYBERSECURITY operations consider and align with your organization’s overall operational
safety system?
(6) HOW do you ensure that your organization incorporates CYBERSECURITY considerations and operations in its
preparation for disasters or emergencies?
(7) In the event of an emergency, HOW do you ensure that systems and assets continue to be secure and available to
serve CUSTOMERS and business needs?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
Q2. Managing your supply chain includes selecting suppliers and ensuring that they are qualified and positioned to not only
meet operational needs but also enhance your performance and your customers’ satisfaction, measuring and evaluating your
suppliers’ performance, providing feedback to your suppliers to help them improve, and dealing with poorly performing
suppliers.

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7

Results

7.1

Process Results: What are your cybersecurity performance and process
effectiveness results?

Provide data and information to answer the following questions. Assess your response using the results rubric on page 26.
(1) What are your RESULTS for the PROTECTION of your systems and assets?
(2) What are your RESULTS for the DETECTION of CYBERSECURITY EVENTS?
(3) What are your RESULTS for your RESPONSE to CYBERSECURITY EVENTS?
(4) What are your RESULTS for your RECOVERY from CYBERSECURITY EVENTS?
(5) What are your PROCESS EFFECTIVENESS and efficiency RESULTS for your CYBERSECURITY operations?
(6) What are your emergency preparedness RESULTS for your CYBERSECURITY operations?
(7) What are your RESULTS for suppliers’ and PARTNERS’ understanding and fulfillment of their CYBERSECURITY roles and
responsibilities?
(8) What are your RESULTS for management of your CYBERSECURITY supply chain?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
7. The results you report in items 7.1–7.5 should provide key information for analyzing and reviewing your cybersecurity-related
performance (item 4.1), demonstrate use of cybersecurity knowledge (item 4.2), and provide the operational basis for
customer-focused results (item 7.2) and financial results (item 7.5). There is not a one-to-one correspondence between results
items and categories 1–6. Results should be considered systemically, with contributions to individual results items frequently
stemming from processes in more than one category.
Q1–Q8. The results you report here should address the key operational requirements you identify in the Organizational Context
section and in category 6.
Q1. Results for the protection of systems and assets should relate to the protection processes you describe in category 6. These
results might include, for example, the percentage of devices and/or software accurately recorded in inventory, the percentage
of devices configured according to policy, the percentage of critical information servers supported by strong authentication, and
the number of facilities with PIV-based electronic locks
Q2. Results for the detection of cybersecurity events should relate to the detection processes you report in category 6. These
results might include, for example, the number of anomalies detected, investigated, and resolved, and the percentage of
planned vulnerability mitigation actions effectively completed.
Q3. Results for your response to cybersecurity events should relate to the response processes you report in category 6. These
results might include, for example, incident recovery and response time, number of disaster recovery incidents, and number of
reports shared with Information Sharing and Analysis Organizations or other appropriate third parties.
Q4. Results for your recovery from cybersecurity events should relate to the recovery processes you report in category 6. These
results might include, for example, the time to restore lost availability and the time to access alternate availability mechanisms
and restore services.
Q5. Process effectiveness and efficiency results for your cybersecurity operations might include those for simplification of jobs,
waste reduction, and work layout improvements.
Q6. Emergency preparedness results might include the cybersecurity operation’s response times for emergency drills or
exercises and results for work relocation or contingency exercises.
Q8. Results for cybersecurity supply-chain performance might include the percentage of contracts that include cybersecurity
monitoring and reporting requirements; supplier and partner audits; and acceptance results for externally provided services and
processes, as well as improvements in downstream supplier services to customers.
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7.2

Customer Results: What are your customer-focused cybersecurity performance
results?

Provide data and information to answer the following questions. Assess your response using the results rubric on page 26.
(1) What are your RESULTS for your internal and external CUSTOMERS’ satisfaction and dissatisfaction with your
CYBERSECURITY policies and operations?
(2) What are your RESULTS for your internal and external CUSTOMERS’ ENGAGEMENT with your organization’s CYBERSECURITY
policies and operations?
(3) What are your RESULTS for your internal and external CUSTOMERS’ understanding and fulfillment of their CYBERSECURITY
roles and responsibilities?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
7.2. Results for customer satisfaction, dissatisfaction, engagement, and relationship building should relate to the customer
groups you identify in C.1b(2) and to the listening and determination methods you report in item 3.1.
Q1. Results might include, for example, survey results on customer satisfaction and dissatisfaction with cybersecurity and
privacy, number of complaints about cybersecurity issues.
Q2. Results might include, for example, the number of customer systems applying multifactor (strengthened) authentication, or
the percentage of customers who change passwords regularly.
Q3. Results might include, for example, the number of potential incidents reported by external customers, the requirements for
service-level agreements regarding recovery of critical customer systems, and the percentage of customers who have changed
their passwords within a specified time period.

7.3

Workforce Results: What are your workforce-focused cybersecurity performance
results?

Provide data and information to answer the following questions. Assess your response using the results rubric on page 26.
(1) What are your CAPABILITY and CAPACITY RESULTS for your CYBERSECURITY WORKFORCE?
(2) What are your RESULTS for the ENGAGEMENT of your WORKFORCE in CYBERSECURITY matters?
(3) What are your RESULTS for WORKFORCE members’ fulfillment of their CYBERSECURITY roles and responsibilities?
(4) What are your WORKFORCE and leader development RESULTS related to CYBERSECURITY?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
7.3. Results reported in this item should relate to the processes you report in category 5. Your results should also respond to the
key work process needs you report in category 6 and to the action plans you report in item 2.2.
Q1. Results might include, for example, the number of qualified referrals received through employee recommendations, the
percentage of cybersecurity vacancies remaining open for a specified number of days, and the percentage of staff members
who have achieved necessary qualifications (e.g., CISM, CISSP).
Q2. Results should relate to the workforce engagement drivers you describe in C.1a(3) and the methods of assessing
engagement you describe in item 5.2.
Q3. Results might include, for example, the percentage of employees who complete role-specific cybersecurity training,
cybersecurity management training Hours per FTE, the percentage of employees trained on incident handing, the percentage of
employees trained to recognize and avoid email scams, the percentage of employees trained on how to secure an email
browser, the number of employees trained on use of guidelines for cell phone and PDA security, and the percentage of users
who did not change their passwords in a timely manner.
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7.4

Leadership and Governance Results: What are your cybersecurity leadership and
governance results?

Provide data and information to answer the following questions. Assess your response using the results rubric on page 26.
(1) What are your RESULTS for leaders’ communication and engagement with your organization’s other leaders, your
WORKFORCE, and your KEY CUSTOMERS and STAKEHOLDERS regarding CYBERSECURITY?
(2) What are your RESULTS for GOVERNANCE accountability related to CYBERSECURITY?
(3) What are your legal and regulatory RESULTS related to CYBERSECURITY?
(4) What are your RESULTS for ETHICAL BEHAVIOR related to CYBERSECURITY?
(5) What are your RESULTS for support of the CYBERSECURITY infrastructure of your KEY communities?
(6) What are your RESULTS for the achievement of your CYBERSECURITY strategy and ACTION PLANS?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
Q1. Responses should include results relating to the communication processes you identify in item 1.1.
Q2. Responses should include results relating to the governance processes you describe in item 1.1. These results might include
financial statement issues and risks, important internal and external auditor recommendations, and management’s responses to
these matters.
Q3. Legal and regulatory results should relate to the processes and measures you describe in item 1.2. Examples might be the
percentage of business systems in compliance with legal and regulatory requirements, the number of compliance breaches, and
the frequency of warnings/violation notices for cybersecurity infractions.
Q4. Responses should include results relating to the processes for ensuring ethical behavior that you identify in item 1.2.
Q5. Results for support of the cybersecurity infrastructure of your key communities might include the extent of collaboration to
improve cybersecurity and results showing the effectiveness of that collaboration (e.g., improved detection using shared
indicators of compromise).
Q6. Results for strategy and action plan achievement should relate to the strategic objectives and goals you report in item 2.1
and the action plan performance measures you report in item 2.2.

7.5

Financial Results: What are your financial performance results for your
cybersecurity operations?

Provide data and information to answer the following questions. Assess your response using the results rubric on page 26.
(1) What are your financial PERFORMANCE RESULTS for your CYBERSECURITY operations?
Terms in SMALL CAPS are defined in the Glossary of Key Terms (pages 29–31).
Notes
7.5. Results should relate to the financial measures you report in item 4.1 and the financial management approaches you report
in item 2.2. Examples might include, for example, cost savings produced by the information security program or through costs
incurred from addressing information security events, cost/schedule variance in information security activities, cost per defect,
cybersecurity spending as a percentage of the IT budget, performance to budget, and cost avoidance or savings.

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Evaluating Your Responses
1.

For each item (e.g., 1.1, 1.2) in categories 1–7 of the Baldrige Cybersecurity Excellence Builder, use the process and
results rubrics on pages 24–25 to assign a descriptor (Reactive, Early, Mature, or Role Model) for each evaluation factor.

For processes (categories 1–6), the evaluation factors are approach, deployment, learning, and integration (ADLI):


Approach consists of the methods used to carry out a process, the degree to which your approach is systematic (i.e.,
repeatable and based on reliable data and information), the appropriateness of these methods to the item questions
and your operating environment, and the effectiveness of your use of the methods.



Deployment is the extent to which your approach is applied consistently and the extent to which it is used by all
appropriate work units.



Learning is the refinement of your approach through cycles of evaluation and improvement, the encouragement of
breakthrough change to your approach through innovation, and the sharing of refinements and innovations with other
relevant work units and processes in your organization.



Integration is the extent to which your approach is aligned with the organizational needs identified in the
Organizational Context section and in other process items. Integration also includes the extent to which your measures,
information, and improvement systems are complementary across processes and work units; and the extent to which
your plans, processes, results, analyses, learning, and actions are harmonized across processes and work units to
support organization-wide goals.

For results (category 7), the evaluation factors are levels, trends, comparisons, and integration (LeTCI; “let’s see”).


Levels are your current performance on a meaningful measurement scale.



Trends are your rate of performance improvement or continuation of good performance in areas of importance (i.e.,
the slope of data points over time).



Comparisons are your performance relative to that of other, appropriate organizations, such as competitors or
organizations similar to yours, and your performance relative to industry leaders or relevant benchmarks.



Integration is the extent to which your results address important performance requirements relating to customers,
products/services, markets, processes, and action plans identified in the Organizational Context section and in the
process items (categories 1–6). It also includes the extent to which your results reflect harmonization across your
processes and work units to support organization-wide goals.

2.

Indicate the importance (high, medium, or low) of each item to the successful management of cybersecurity within your
organization.

3.

Prioritize your actions.

Celebrate your strengths of your cybersecurity risk management program, and build on them to improve what you do well.
Sharing the things you do well with the rest of your organization can speed improvement.
Prioritize your opportunities for improvement; you cannot do everything at once. Think about what is most important for your
organization as a whole at this time, balancing the differing needs and expectations of your stakeholders, and decide what to
work on first. Look at the next level in the rubric for how you might improve. Develop an action plan, implement it, and measure
your progress.

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Assessment Rubric
Process (Categories 1–6)
Maturity
Level

Approach

Deployment

Evaluation Factor
Learning

Integration

Reactive

CYBERSECURITY-related
policies/operations are
characterized by activities
rather than by PROCESSES.

DEPLOYMENT of CYBERSECURITY-related
APPROACHES to appropriate
organizational units, and to
CUSTOMERS, PARTNERS, and suppliers,
as appropriate, is lacking.

Improvement in CYBERSECURITYrelated policies/operations is
achieved mainly in reaction to
immediate needs or problems.

CYBERSECURITY-related goals are poorly defined;
individual units within the CYBERSECURITY
operations function independently of each
other. There is no coordination between
CYBERSECURITY-related policies/operations and
those of the rest of the organization.

Early

CYBERSECURITY-related
policies/operations are
beginning to be carried out
with SYSTEMATIC APPROACHES.

KEY CYBERSECURITY-related APPROACHES
are beginning to be DEPLOYED to
appropriate organizational units and
to CUSTOMERS, PARTNERS, and
suppliers, as appropriate.

CYBERSECURITY-related
policies/operations are beginning to
be SYSTEMATICALLY evaluated and
improved.

CYBERSECURITY-related strategy and quantitative
GOALS are being defined. There is some early
alignment among CYBERSECURITY operational
units and, as appropriate, between
CYBERSECURITY policies/operations and the rest
of the organization.

Mature

Most elements of CYBERSECURITYrelated policies/operations are
characterized by SYSTEMATIC
APPROACHES.

KEY CYBERSECURITY-related APPROACHES
are well DEPLOYED to appropriate
organizational units and to
CUSTOMERS, PARTNERS, and suppliers,
as appropriate.

CYBERSECURITY-related
policies/operations are
SYSTEMATICALLY evaluated for
improvement, and learnings are
shared, with some INNOVATION
evident.

CYBERSECURITY-related APPROACHES address KEY
strategies and GOALS. There is alignment
among CYBERSECURITY operational units and, as
appropriate, between CYBERSECURITY
policies/operations and the rest of the
organization.

Role
Model

Many to all elements of
CYBERSECURITY-related
policies/operations are
characterized by SYSTEMATIC
APPROACHES.

KEY CYBERSECURITY-related APPROACHES
are fully DEPLOYED to appropriate
organizational units and to
CUSTOMERS, PARTNERS, and suppliers,
as appropriate.

CYBERSECURITY-related
policies/operations seek and achieve
efficiencies through ANALYSIS,
INNOVATION, and the sharing of
CYBERSECURITY information and
knowledge, including with the rest of
the organization.

CYBERSECURITY-related policies/operations are
INTEGRATED with current and future
organizational needs defined by the
organization; these policies/operations are
well INTEGRATED with those of the rest of the
organization.

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Results (Category 7)
Maturity
Level

Levels

Trends

Evaluation Factor
Comparisons

Integration

Reactive

CYBERSECURITY-related RESULTS
are missing, not used, or
randomly reported.

TREND data are not reported or show
mainly adverse TRENDS.

Available comparative information is
not tracked.

CYBERSECURITY-related RESULTS that are
important to the organization’s ongoing
success are not tracked.

Early

The organization tracks some
CYBERSECURITY-related RESULTS,
and they show early good
performance LEVELS.

Some TREND data are tracked, and
some show improvement over time.

Some available, mainly internal,
comparative information is tracked.

Some CYBERSECURITY-related RESULTS that are
important to the organization’s ongoing
success are tracked.

Mature

The organization tracks many
CYBERSECURITY-related RESULTS,
and they show good-toexcellent performance LEVELS.

Many CYBERSECURITY-related RESULTS
show improvement or sustained
high PERFORMANCE over time.

Results show good CYBERSECURITYrelated PERFORMANCE relative to
available information on
competitors, other relevant
organizations, or BENCHMARKS.

Many CYBERSECURITY-related RESULTS that are
important to the organization’s ongoing
success are tracked. RESULTS are beginning to
be used in decision making.

Role
Model

The full array of CYBERSECURITYrelated RESULTS is tracked,
indicating top performance.

The full array of CYBERSECURITY-related
RESULTS is TRENDED over time,
indicating improvement or sustained
high PERFORMANCE.

Results indicate top CYBERSECURITYrelated PERFORMANCE relative to
available information on other
organizations or BENCHMARKS.

All CYBERSECURITY-related RESULTS that are
important to the organization’s ongoing
success are tracked. The RESULTS are used in
decision making.

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Self-Analysis Worksheet
[Note: In its final form, this worksheet may be an Excel file with drop-down boxes and/or another type of non-paper-based tool.]
Process (Categories 1–6)
Approach
1

Leadership
1.1 Senior and Cybersecurity Leadership: How do your senior and
cybersecurity leaders lead your cybersecurity policies and operations?
1.2 Governance and Societal Responsibilities: How do you govern your
cybersecurity policies and operations and fulfill your organization’s
societal responsibilities?

2

Strategy
2.1 Strategy Development: How do you develop your cybersecurity
strategy?
2.2 Strategy Implementation: How do you implement your cybersecurity
strategy?

3

Customers
3.1 Voice of the Customer: How do you obtain information from your
customers?
3.2 Customer Engagement: How do you engage customers by serving their
needs and building relationships?

4

Measurement, Analysis, and Knowledge Management
4.1 Measurement, Analysis, and Improvement of Performance: How do you
measure, analyze, and then improve cybersecurity-related
performance?
4.2 Knowledge Management: How do you manage your organization's
cybersecurity-related knowledge assets?

5

High, Medium,
or Low?

Reactive, Early, Mature, or Role Model?

Workforce
5.1 Workforce Environment: How do you build an effective and supportive
workforce environment to achieve your cybersecurity goals?
25

Deployment

Learning

Integration

Importance

Baldrige Cybersecurity Excellence Builder DRAFT

5.2 Workforce Engagement: How do you engage your workforce to achieve
a high-performance work environment in support of cybersecurity
policies and operations?
6

Operations
6.1 Work Processes: How do you design, manage, and improve your key
cybersecurity work processes?
6.2 Operational Effectiveness: How do you ensure effective management of
your cybersecurity operations?

Levels
7

High, Medium,
or Low?

Reactive, Early, Mature, or Role Model?

Results (Category 7)
Results
7.1 Cybersecurity Process Results: What are your cybersecurity
performance and process effectiveness results?
7.2 Customer Results: What are your customer-focused cybersecurity
performance results?
7.3 Workforce Results: What are your workforce-focused cybersecurity
performance results?
7.4 Leadership and Governance Results: What are your cybersecurity
leadership and governance results?
7.5 Financial Results: What are your financial performance results for your
cybersecurity operations?

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Trends

Comparisons

Integration

Importance

Baldrige Cybersecurity Excellence Builder DRAFT

Glossary of Key Terms
The terms below are those in SMALL CAPS in the Baldrige Cybersecurity Excellence Builder categories or are key terms used in the
scoring rubrics.
ACTION PLANS. Specific

actions that your organization takes to reach its short- and longer-term strategic objectives. These plans
specify the resources committed to and the time horizons for accomplishing the plans. See also STRATEGIC OBJECTIVES.
ALIGNMENT. A state

of consistency among plans, processes, information, resource decisions, workforce capability and capacity,
actions, results, and analyses that support key organization-wide goals. See also INTEGRATION.
APPROACH. The

methods your organization uses to carry out its processes.

BENCHMARKS. Processes and results that represent the best practices and

best performance for similar activities, inside or outside

your organization’s industry.
COLLABORATORS. Organizations or individuals who cooperate with your organization to support a particular activity or event or

who cooperate intermittently when their short-term goals are aligned with or are the same as yours. See also PARTNERS.
CORE COMPETENCIES. Your

organization’s areas of greatest expertise; those strategically important capabilities that are central to
fulfilling your mission or that provide an advantage in your marketplace or service environment.
CUSTOMER. An

actual or potential user of your organization’s products, programs, or services. See also STAKEHOLDERS.

CUSTOMER ENGAGEMENT. Your
CYBERSECURITY. The

customers’ investment in or commitment to your brand and product offerings.

process of protecting information and assets by limiting the occurrence of, detecting, and responding to

attacks.
CYBERSECURITY EVENT. A cybersecurity change that may have an

impact on organizational operations (including mission,

capabilities, or reputation).
DEPLOYMENT. The

extent to which your organization applies an approach in relevant work units throughout your organization.

DETECT. Develop and implement the
EFFECTIVE. How

appropriate activities to identify the occurrence of a cybersecurity event.

well a process or a measure addresses its intended purpose.

ETHICAL BEHAVIOR. The

actions your organization takes to ensure that all its decisions, actions, and stakeholder interactions
conform to its moral and professional principles of conduct. These principles should support all applicable laws and regulations
and are the foundation for your organization’s culture and values.
EXCELLENCE. See PERFORMANCE EXCELLENCE.
GOALS. Future

conditions or performance levels that your organization intends or desires to attain. See also PERFORMANCE

PROJECTIONS.
GOVERNANCE. The

system of management and controls exercised in the stewardship of your organization.

HIGH PERFORMANCE. Ever-higher levels of

overall organizational and individual performance, including quality, productivity,

innovation rate, and cycle time.
HOW. The

systems and processes that your organization uses to achieve its mission requirements.

INNOVATION. Making meaningful change to improve

products/services, processes, or organizational effectiveness and create new
value for stakeholders. The outcome of innovation is a discontinuous or breakthrough change.
INTEGRATION. The

harmonization of plans, processes, information, resource decisions, workforce capability and capacity, actions,
results, and analyses to support key organization-wide goals. See also ALIGNMENT.
KEY. Major

or most important; critical to achieving your intended outcome.

KNOWLEDGE ASSETS. Your

organization’s accumulated intellectual resources; the knowledge possessed by your organization and its
workforce in the form of information, ideas, learning, understanding, memory, insights, cognitive and technical skills, and
capabilities.
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LEARNING. New

knowledge or skills acquired through evaluation, study, experience, and innovation.

LEVELS. Numerical information

that places or positions your organization’s results and performance on a meaningful

measurement scale.
MEASURES AND INDICATORS. Numerical information

that quantifies the input, output, and performance dimensions of processes,
products, programs, projects, services, and the overall organization (outcomes).
MISSION. Your

organization’s overall function.

PARTNERS. Key

organizations or individuals who are working in concert with your organization to achieve a common goal or
improve performance. Typically, partnerships are formal arrangements. See also COLLABORATORS.
PERFORMANCE. Outputs and their outcomes obtained from processes, products/services, and customers that permit you to

evaluate and compare your organization’s results to performance projections, standards, past results, goals, and other
organizations’ results.
PERFORMANCE EXCELLENCE. An

integrated approach to organizational performance management that results in (1) delivery of everimproving value to customers and stakeholders, contributing to ongoing organizational success; (2) improvement of your
organization’s overall effectiveness and capabilities; and (3) learning for the organization and for people in the workforce.
PERFORMANCE PROJECTIONS. Estimates of your
PROCESS. Linked activities with the purpose

organization’s future performance. See also GOALS.

of producing a product or service for a customer (user) within or outside your

organization.
PROTECT.

Develop and implement the appropriate safeguards to ensure delivery of critical infrastructure services.

RECOVER. Develop and implement the

appropriate activities to maintain plans for resilience and to restore any capabilities or
services that were impaired due to a cybersecurity event.
RESPOND. Develop and implement

the appropriate activities to take action regarding a detected cybersecurity event.

RESULTS. Outputs and outcomes achieved by your organization.
SEGMENT. One

part of your organization’s customer, market, product offering, or workforce base.

SENIOR LEADERS. Your
STAKEHOLDERS. All

organization’s senior management group or team.

groups that are or might be affected by your organization’s actions and success. See also CUSTOMER.

STRATEGIC ADVANTAGES. Those

marketplace benefits that exert a decisive influence on your organization’s likelihood of future
success. These advantages are frequently sources of current and future competitive success relative to other providers of similar
products/services.
STRATEGIC CHALLENGES. Those

pressures that exert a decisive influence on your organization’s likelihood of future success. These
challenges are frequently driven by your organization’s anticipated competitive position in the future relative to other providers
of similar products/services.
STRATEGIC OBJECTIVES. The

aims or responses that your organization articulates to address major change or improvement,
competitiveness or social issues, and business advantages. See also ACTION PLANS.
SYSTEMATIC. Well-ordered, repeatable, and exhibiting the use of data and information
TRENDS. Numerical information that shows the

so that learning is possible.

direction and rate of change of your organization’s results or the consistency of its

performance over time.
VALUE. The

perceived worth of a product, process, asset, or function relative to its cost and possible alternatives.

VALUES. The guiding principles and behaviors that embody how
VISION. Your

your organization and its people are expected to operate.

organization’s desired future state.

VOICE OF THE CUSTOMER. Your
WORK PROCESSES. Your
WORKFORCE. All

process for capturing customer-related information.

organization’s most important internal value-creation processes.

people actively supervised by your organization and involved in accomplishing your organization’s work,
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Baldrige Cybersecurity Excellence Builder DRAFT

including paid employees (e.g., permanent, part-time, temporary, and telecommuting employees, as well as contract employees
supervised by your organization) and volunteers, as appropriate.
WORKFORCE CAPABILITY. Your

organization’s ability to accomplish its work processes through its people’s knowledge, skills, abilities,

and competencies.
WORKFORCE CAPACITY. Your

organization’s ability to ensure sufficient staffing levels to accomplish its work processes and deliver
your products/services to customers, including the ability to meet seasonal or varying demand levels.
WORKFORCE ENGAGEMENT. The

extent of workforce members’ emotional and intellectual commitment to accomplishing your
organization’s work, mission, and vision.

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Baldrige Cybersecurity Excellence Builder DRAFT

Appendix: Baldrige Cybersecurity Excellence
Builder–Cybersecurity Framework Crosswalk
Cybersecurity Excellence Builder
Categories and Items

Related Sections in the Cybersecurity Framework
2.4, Figure 2: Notional
Information and Decision Flows

C

1

2

3

3.2, Establishing or Improving
a Cybersecurity Program

Appendix A: Framework
Core Categories and
Functions1

Organizational Context
C.1 Organizational
Description

Executive Level

Step 1: Prioritize and Scope;
Step 2: Orient

ID-AM, ID-BE

C.2 Organizational Situation

Executive Level; Changes in
Current and Future Risk

Step 1: Prioritize and Scope;
Step 2: Orient

ID-BE, ID-RM

1.1 Senior and Cybersecurity
Leadership

Executive Level

Step 1: Prioritize and Scope;
Step 2: Orient

ID-BE, RC-CO

1.2 Governance and Societal
Responsibilities

Executive Level

Step 2: Orient

ID-GV, RS-CO

2.1 Strategy Development

Business/Process Level; Mission
Priority and Risk Appetite and
Budget; Changes in Current and
Future Risk

Step 1: Prioritize and Scope;
Step 2: Orient; Step 4:
Conduct a Risk Assessment;
Step 5: Create a Target Profile
Step 6: Determine, Analyze,
and Prioritize Gaps

ID-BE, ID-GV, ID-RA, ID-RM

2.2 Strategy Implementation

Business/Process Level; Mission
Priority and Risk Appetite and
Budget; Changes in Current and
Future Risk

Step 1: Prioritize and Scope;
Step 2: Orient; Step 5, Create
a Target Profile; Step 7:
Implement Action Plan

ID-BE, ID-GV, ID-RA, ID-RM

3.1 Voice of the Customer

Business/Process Management;
Implementation/Operations Level

Step 3: Create a Current
Profile; Step 5: Create a
Target Profile

ID-BE

3.2 Customer Engagement

Business/Process Management;
Implementation/Operations Level

Step 3: Create a Current
Profile; Step 5: Create a
Target Profile

ID-AM, PR-AT, RS-CO, RC-CO

4.1 Measurement, Analysis,
and Improvement of
Performance

Implementation Progress

Step 6: Determine, Analyze,
and Prioritize Gaps

DE-AE, DE-DP, RS-IM, RC-IM

4.2 Knowledge Management

Business/Process Management;
Implementation/Operations Level

Step 6: Determine, Analyze,
and Prioritize Gaps

ID-RA, DE-AE, RS-CO

5.1 Workforce Environment

Business/Process Management;
Implementation/Operations Level

Step 3: Create a Current
Profile; Step 5: Create a
Target Profile

ID-AM, ID-GV, PR-IP, DE-DP,
RS-CO

5.2 Workforce Engagement

Business/Process Management;
Implementation/Operations Level

Step 3: Create a Current
Profile; Step 5: Create a
Target Profile

PR-AT, PR-IP, RS-CO

Leadership

Strategy

Customers

4 Measurement, Analysis, and
Knowledge Management

5

Workforce

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Baldrige Cybersecurity Excellence Builder DRAFT
6

7

Operations
6.1 Work Processes

Implementation/Operations Level

Step 2: Orient; Step 3: Create
a Current Profile; Step 4,
Conduct a Risk Assessment;
Step 5, Create a Target Profile

PR-AC, PR-DS, PR-IP, PR-MA,
DE-AE, DE-CM, DE-DP, RSRP, RS-AN, RS-IM, RS-MI, RCRP, RC-IM

6.2 Operational
Effectiveness

Implementation/Operations Level

Step 3: Create a Current
Profile; Step 5, Create a
Target Profile

ID-AM, ID-BE, PR-AT, PR-IP

7.1 Process Results

Implementation Progress

Step 3: Create a Current
Profile; Step 5, Create a
Target Profile

PR-AC, PR-DS, PR-IP, PR-MA,
DE-AE, DE-CM, DE-DP, RSRP, RS-AN, RS-IM, RS-MI, RCRP, RC-IM

7.2 Customer Results

Implementation Progress

Step 3: Create a Current
Profile; Step 5, Create a
Target Profile

ID-BE, ID-AM, PR-AT, RS-CO,
RC-CO

7.3 Workforce Results

Implementation Progress

Step 3: Create a Current
Profile; Step 5, Create a
Target Profile

ID-AM, ID-GV, PR-IP, DE-DP,
RS-CO, PR-AT, PR-IP, RS-CO

7.4 Leadership and
Governance Results

Implementation Progress

Step 3: Create a Current
Profile; Step 5, Create a
Target Profile

ID-BE, ID-GV, ID-RA, ID-RM,
RC-CO

7.5 Financial Results

Implementation Progress

Step 3: Create a Current
Profile; Step 5, Create a
Target Profile

ID-BE

Results

1The

Cybersecurity Framework functions are Identify (ID), Protect (PR), Detect (DE), Respond (RS), and Recover (RC). For an explanation of the
categories within these functions, see the Cybersecurity Framework.

31